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The 
NORTH CAROLINA 



REGISTER 



IN THIS ISSUE 



TITU 

tionI 



FINAL DECISION LETTER 



PROPOSED RULES 



Administration 

Agriculture 

Environment, Health, and Natural Resources 

Hearing Aid Dealers and Fitters Board 

Human Resources 

Professoinal Engineers and Land Surveyors 

Real Estate Commission 



FINAL RULES 

Transportation 

List of Codified Rules 

ARRC OBJECTIONS 



RECEIVED 

AUG 2 1991 
LAW LIBRARY 



RULES INVALIDATED BY JUDICIAL DECISION 

ISSUE DATE: AUGUST 1, 1991 
Volume 6 • Issue 9 • Pages 464-515 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 

The North Carolina Register is published bi-monthly 
and contains information relating to agency, executive, 
legislative and judicial actions required by or affecting 
Chapter 150B of the General Statutes. All proposed, ad- 
ministrative rules and amendments filed under Chapter 
150B must be published in the Register. The Register 
will typically comprise approximately fifty pages per 
issue of legal text. 

State law requires that a copy of each issue be pro- 
vided free of charge to each county in the state and to 
various state officials and institutions. The North Carolina 
Register is available by yearly subscription at a cost of 
one hundred and five dollars ($105.00) for 24 issues. 

Requests for subscriptions to the North Carolina 
Register should be directed to the Office of Ad- 
ministrative Hearings, P. O. Drawer 27447, Raleigh, N. 
C. 27611-7447, Attn: Subscriptions. 

ADOPTION, AMENDMENT, AND REPEAL OF 
RULES 

An agency intending to adopt, amend, or repeal a rule 
must first publish notice of the proposed action in the 
North Carolina Register. The notice must include the 
time and place of the public hearing; a statement of how 
public comments may be submitted to the agency either 
at the hearing or otherwise; the text of the proposed 
rule or amendment; a reference to the Statutory 
Authority for the action and the proposed effective date. 

The Director of the Office of Administrative Hearings 
has authority to publish a summary, rather than the 
full text, of any amendment which is considered to be 
too lengthy. In such case, the full text of the rule con- 
taining the proposed amendment will be available for 
public inspection at the Rules Division of the Office of 
Administrative Hearings and at the office of the pro- 
mulgating agency. 

Unless a specific statute provides otherwise, at least 
30 days must elapse following publication of the pro- 
posal in the North Carolina Register before the agency 
may conduct the required public hearing and take ac- 
tion on the proposed adoption, amendment or repeal. 

When final action is taken, the promulgating agency 
must file any adopted or amended rule for approval by 
the Administrative Rules Review Commission. Upon ap- 
proval of ARRC, the adopted or amended rule must be 
filed with the Office of Administrative Hearings. If it 
differs substantially from the proposed form published 
as part of the public notice, upon request by the agen- 
cy, the adopted version will again be published in the 
North Carolina Register. 

A rule, or amended rule cannot become effective 
earlier than the first day of the second calendar month 
after the adoption is filed with the Office of Ad- 
ministrative Hearings for publication in the NCAC. 

Proposed action on rules may be withdrawn by the 
promulgating agency at any time before final action is 
taken by the agency. 

TEMPORARY RULES 

Under certain conditions of an emergency nature, 
some agencies may issue temporary rules. A temporary 
rule becomes effective when adopted and remains in 



effect for the period specified in the rule or 180 days 
whichever is less. An agency adopting a temporary rul< 
must begin normal rule-making procedures on the per 
manent rule at the same time the temporary rule i: 
adopted. 

NORTH CAROLINA ADMINISTRATIVE CODE 

The North Carolina Administrative Code (NCAC) i 
a compilation and index of the administrative rules o 
25 state agencies and 38 occupational licensing boards 
The NCAC comprises approximately 15,000 letter size 
single spaced pages of material of which approximate 
ly 35% is changed annually. Compilation and publia 
tion of the NCAC is mandated by G.S. 150B-63(b). 

The Code is divided into Titles and Chapters. Eac 
state agency is assigned a separate title which is fu 
ther broken down by chapters. Title 21 is designate 
for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimui 
cost of two dollars and 50 cents ($2.50) for 1 
pages or less, plus fifteen cents ($0. 1 5) per eac 
additional page. 

(2) The full publication consists of 53 volume 
totaling in excess of 15,000 pages. It is suj 
plemented monthly with replacement pages, 
one year subscription to the full publication ii 
eluding supplements can be purchased fc 
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dividual volumes may also be purchased wit 
supplement service. Renewal subscriptions fc 
supplements to the initial publication availabl 

Requests for pages of rules or volumes of the NCA 
should be directed to the Office of Administratis 
Hearings. 

NOTE 

The foregoing is a generalized statement of the pr 
cedures to be followed. For specific statutory langua] 
it is suggested that Articles 2 and 5 of Chapter 150B 
the General Statutes be examined carefully. 

CITATION TO THE NORTH CAROLINA 
REGISTER 

The North Carolina Register is cited by volume, issi 
page number and date. 1:1 NCR 101-201, April 1, 19 

refers to Volume 1, Issue 1, pages 101 through 201 
the North Carolina Register issued on April 1, 198( 



North Carolina Register. Published bi-monthly by the 
Office of Administrative Hearings, P.O. Drawer 27447, 
Raleigh, North Carolina 27611-7447, pursuant to 
Chapter 150B of the General Statutes. Subscriptions 
one hundred and five dollars ($105.00) per year. 

North Carolina Administrative Code. Published in 
looseleaf notebooks with supplement service by the 
Office of Administrative Hearings, P.O. Drawer 27447, 
Raleigh, North Carolina 27611-7447, pursuant to 
Chapter 150B of the General Satutes. Subscriptions 
seven hundred and fifty dollars ($750.00). Individual 
volumes available. 



NORTH 
CAROLINA 
REGISTER 



ISSUE CONTENTS 




Office of Administrative Hearings 

P. O. Drawer 27447 

Raleigh, NC 27611-7447 

(919) 733 - 2678 



FINAL DECISION LETITR 

Voting Riehts Act 464 



II. PROPOSED RULES 
Administration 

State Construction 465 

Agriculture 

Plant Industry 469 

Environment, Health, and 

Natural Resources 

Land Resources 494 

Water Treatment Facility 

Operators Board 495 

Human Resources 

Facility Services 471 

Medical Assistance 492 

Licensing Boards 

I tearing Aid Dealers and 
Fitters Board 496 

Professional Engineers and 
Land Surveyors, Bd of 497 

Real Estate Commission 500 



Julian Mann III, 

Director 
James R. Scarcella Sr., 

Deputy Director 
Molly Masich, 

Director APA Services 



Staff: 

Ruby Creech, 

Publications Coordinator 
Teresa Kilpatrick, 

Editorial Assistant 
Jean Shirley, 

Editorial Assistant 



III. FINAL RULES 
Transportation 

Motor Vehicles 502 

List of Rules Codified 504 

IV. ARRC OBJECTIONS 508 

V. RULES INVALIDATED BY 

JUDICIAL DECISION 512 

VI. CUMULATIVE INDEX 514 



' 



NORTH CAROLINA REGISTER 

Publication Schedule 

(April 1991 - December 1992) 

Issue Last Day Last Day Earliest * 

Date for for Date for Earliest 

Filing Electronic Public Effective 

Firing Hearing & Date 
Adoption by 
Agency 

******** ******** ******** ******** ******** 

04/01/91 03/11,91 03/18/91 05/01 91 08/01/91 

04/15/91 03/22/91 04/01/91 05/15/91 08/01/91 

05/01/91 04/10/91 04 17/91 05/31/91 09/01/91 

05/15/91 04/24 91 05/01/91 06/14/91 09 01/91 

06/03/91 05/10/91 05/17/91 07/03/91 10/01/91 

06/14/91 05/23/91 05/31/91 07/14/91 10/01/91 

07 01/91 06/10/91 06/17/91 07/3191 1 1/01/91 
07/15/91 06/21/91 06/28/91 08/14/91 11/01/91 
08/01/91 07/11 91 07/18/91 08/31/91 1201/91 
08/15/91 07/25 91 08/0191 09/14,91 12 01/91 
09,03/91 08/12/91 08/19/91 10'03 91 01/01/92 
09/16 91 08/23/91 08/30/91 10/16/91 01/01/92 
10/01/91 09/10/91 09/17 91 10/31/91 02/01/92 
10/15,91 09/2491 10 0191 11,14 91 02-01/92 
11/01/91 10/11/91 10 18/91 12/01/91 03/01/92 
11/15/91 10/24 91 10/31/91 12/15/91 03 01/92 
12/02/91 11/07/91 11/14/91 01/01/92 04 01/92 
12/16 91 112191 12/02/91 01/15/92 04 01/92 
01/02/92 12/09/91 12, 16/91 01/31/92 05/01/92 
0115 92 12 2091 12 3191 02/14/92 05 0192 
02/03/92 01/10 92 0117 92 0304 92 06 01/92 
02/14/92 01/24 92 01/31/92 0315 92 06/01/92 
03,02/92 02/10/92 02/17/92 04/01/92 07 01/92 
03/16/92 02/24/92 03/02/92 04 15/92 07 01/92 
04,01,92 03/11/92 03/18/92 05/01 92 08/01/92 
04/T5 92 03/25/92 04/01/92 05/15/92 08 01/92 
05,0192 04/10/92 04 17/92 05 3192 09 01/92 
05/15/92 04/24/92 05/01/92 06/1492 09 01/92 
06,01/92 05/11/92 05/18/92 07/01/92 1001/92 
06/15/92 05/25/92 06/01 '92 07/15,92 10 01/92 
07/01/92 06-10 92 06/17/92 07/31/92 11/01/92 
07/15/92 06,24 92 07/01/92 0814/92 1 1 0192 
08/03/92 07/13/92 07/20/92 09 02 92 12 01/92 

08 14 92 07/24'92 07/31/92 09 13 92 12 01 '92 
09/01/92 08/11/92 08/18/92 10/01/92 01-01/93 
09/15 92 08/25 92 09 0192 10 15 92 01/01/93 
10 01/92 09/10 92 09/17/92 10/31,92 02/01/93 
10 15 92 09-24 92 10 01/92 11/14/92 02 01/93 
11,02,92 10/12 92 10/1992 12/02/92 0301/93 
11/16/92 10/23 92 10 30 92 12 16/92 03 01/93 
12 01 92 11/0692 111392 12/31/92 04 0193 
12/15/92 1124 92 12 0192 01,14/93 04 0193 

* The "Earliest Effective Date" is computed assuming that the public hearing 

and adoption occur in the calendar month immediately following the "Issue 
Date", that the agency files the rule with The Administrative Rules Review 
Commission by the 20th of the same calendar month and that ARRC approves 
the ride at the next calendar month meeting. 



VOTING RIGHTS ACT FINAL DECISION LETTER 



[G.S. 120-30.9H, effective July 16, 1986, requires that all letters and other documents issued by the 
A ttorney General of the United States in which a final decision is made concerning a "change af- 
fecting voting" under Section 5 of the Voting Rights Act of J 965 be published in the North Carolina 
Register. J 



U.S. Department of Justice 
Civil Rights Division 

JRD:LLT:MMS:lrj 

DJ 166-012-3 Voting Section 

91-1443 P.O. Box 66128 

Washington, DC. 20035-6128 

June 21, 1991 

Z. Creighton Brinson, Esq. 
Taylor & Brinson 
210 East Saint James Street 
Tarboro, North Carolina 27886 

Dear Mr. Brinson: 

This refers to the 1991 redistricting of council districts and realignment of voting precincts for the 
Town of Tarboro in Edgecombe County, North Carolina, submitted to the Attorney General pursuant 
to Section 5 of the Voting Rights Act of 1965, as amended, 42 U.S.C. 1973c. We received your sub- 
mission on May 13, 1991. 

The Attorney General does not interpose any objection to the specified changes. However, we 
note that Section 5 expressly provides that the failure of the Attorney General to object does not bar 
subsequent litigation to enjoin the enforcement of the changes. In addition, as authorized by Section 
5, we reserve the right to reexamine this submission if additional information that would otherwise re- 
quire an objection comes to our attention during the remainder of the sixty-day review period. See the 
Procedures for the Administration of Section 5 (28 C.P.R. 51.41 and 51.43). 



Sincerely, 



John R. Dunne 

Assistant Attorney General 

Civil Rights Division 



By: 



Gerald W. Jones 
Chief, Voting Section 



6:9 NORTH CAROLINA REGISTER August I, 1991 464 



PROPOSED RULES 



TITLE 1 - DEPARTMENT OE 
ADMINISTRATION 



iV otice is hereby given in accordance with G.S. 
1 SOB- 12 that the Department of Administration 
intends to adopt rules cited as 1 NCAC 30F .0101 
- .0103, .0201 - .0202, .0301 - .0305, .0401 - .0403. 

1 he proposed effective date of this action is De- 
cember 1 , 1991 . 

1 he public hearing will be conducted at 10:00 
a.m. on September 10, 1991 at the Large Confer- 
ence Room, State Construction Office, Legislative 
Office Building, Room 403, 300 North Salisbury 
Street. Raleigh, NC 27611. 



c 



■otnment Procedures: Any interested person 
may present his her comments either in writing 
prior to or at the hearing or orally at the hearing. 
Any person may request information, permission 
to be heard or copies of the proposed regulations 
by writing or calling David McCoy, Department 
of Administration, 116 West Jones Street, 
Raleigh. NC 2~603-8003, (919) 733-7232. 

CHAPTER 30 - STATE CONSTRUCTION 

SUBCHAPTER 30F - STATE BUILDING 

COMMISSION CONTRACTOR EVALUATION 

PROCEDURES 

SECTION .0100 - GENERAL PROVISIONS 

.0101 AUTHORITY 

The State Building Commission, hereinafter re- 
ferred to as SBC, is a statutory' body, empowered 
by Public Law to perform a multiplicity of duties 
with regard to the State's Capital Facilities de- 
velopment and management program. In the 
specific area of state capital improvement project 
contractor evaluation, the SBC is empowered to 
develop procedures for accomplishment of such 
evaluation. 

Statutory Authority G.S. 143-135.26(4). 

.0102 POLICY 

It is the policy of the SBC to evaluate the work 
performed by prime contractors for capital im- 
provement projects based on criteria contained 
herein. Further, it is considered of paramount 
importance that every state capital improvement 
project be constructed of a level of quality and 
adherence to a time schedule in keeping with the 
contract plans and specifications. It is to this end 
that individual prune contractor's performance 



on state capital improvement projects should be 
fairly and consistently evaluated and such evalu- 
ations used as a factor in determining qualifica- 
tions of prime contractors to bid on future state 
capital improvement projects. If such evalu- 
ations lead to a determination that the level of 
performance by a contractor so warrants, the 
contractor may be disqualified from bidding on 
state capital improvement projects for a specified 
period of time. 

Statutory Authority G.S. 143-135.26(4). 

.0103 DEFINITIONS 

For purposes of this Subchapter, the following 
definitions shall apply: 

(1) "Capital Projects Coordinator" means the 
individual authorized by each funded agency 
to coordinate all capital improvements 
projects and related matters with the State 
Construction Office (SCO) and to represent 
that agency on all matters presented to the 
SBC. The individual so designated for pur- 
poses of these Rules may have other titles 
within the individual's agency but shall carry 
out the duties assigned herein to the Capital 
Projects Coordinator. Whenever the Capi- 
tal Projects Coordinator is referenced herein, 
it shall be understood to include a designated 
assistant or representative. Concerning 
evaluation of contractors, the Capital 
Projects Coordinator is responsible for the 
agency's evaluation of each phase of the 
project as well as the overall contractor 
evaluation. 

(2) "Contractor" means any individual, firm, 
partnership, corporation, association or 
other legal entity licensed to perform con- 
struction in the State of North Carolina. 
The contractor evaluation procedure applies 
to a firm designated as a "prime contractor" 
and may include contractors receiving 
awards under the single prime or multiple- 
prime method of contract bidding and 
award. The prime contractor shall be re- 
sponsible for performance of all sub- 
contractors. Accordingly, the evaluation of 
the prime contractor will include evaluation 
of the work of all sub-contractors, required 
by terms of the contract to be listed by the 
prime contractor, and all material suppliers. 

(3) "Project Designer" means any individual, 
firm, partnership, corporation, association 
or other legal entity licensed to practice ar- 
chitecture, engineering, or landscape archi- 
tecture in the State of North Carolina. 

(4) "Funded Agency" means the department, 
agency, authority or office that is named in 



465 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



the legislation appropriating funds for the 
design and/or construction of a project. 

(5) "Owner's Representative" is an individual 
appointed by the using agency to represent 
the using agency on all user-related matters. 

(6) "The Owner" is the representative of the 
using agency as defined in Rule .0103(9) of 
Subchapter 30D - State Building Commis- 
sion Designer Selection Procedures. 

(7) "Scope Statement" means a written de- 
scription of the capital project that is to be 
designed and constructed. Normally, the 
scope statement shall reflect the written 
project description as contained in the 
project cost estimate validated by the State 
Construction Office. 

(8) "Contractor Evaluation Form" is the form 
to be used for all contractor evaluations. 
The form, approved by the State Building 
Commission, is the only approved docu- 
ment for this purpose; the form may be re- 
produced by agencies as required. 

Statutory Authority G.S. 143-64.31; 143-135.26. 

SECTION .0200 - PROJECT AND CONTRACT 
INFORMATION 

.0201 PROJECT DESCRIPTION 

(a) It shall be the responsibility of each Capital 
Projects Coordinator, for each Capital Improve- 
ments project as denned in G.S. 143-135.27 re- 
quiring professional services, to provide the State 
Construction Office with a written description of 
the professional services desired, the scope of 
work, schedule requirements, amount of author- 
ized funds and other appropriate information. 
This phase of the project development is in- 
tended to convey project information. 

(b) It shall be the joint responsibility of the 
Capital Projects Coordinator and Office of State 
Construction, to the best of their belief and 
knowledge, to ensure that the contract plans and 
specifications accurately reflect the description of 
the work to be performed by each prime con- 
tractor. This phase of the project development, 
intended to convey contract information, which 
is a sub-set of project information, is critical as 
the evaluation of the prime contractor's per- 
formance will depend in part on the contract re- 
quirements clearly delineating the work to be 
performed and establishing an appropriate time 
frame for contract completion. 

Statutory Authority G.S. 143-/35.26(4). 

.0202 PRE-BID CONFERENCES AND SITE 
REVIEWS 



(a) The Capital Projects Coordinator shall 
evaluate each assigned project to determine if the 
complexity of a project warrants conducting one 
or more pre-bid conferences including site visits. 
The Capital Projects Coordinator shall be re- 
sponsible for ensuring that the owner's represen- 
tatives are familiar with the contract requirements 
and the consequences of the construction work 
on the owner. 

(b) This step is included as attempts may be 
made by the owner to request that additional 
tasks be performed by the contractor to meet the 
owner's special requirements without the capital 
projects coordinator's and designer's knowledge 
and the contract plans and specifications do not 
contain any provision for these special require- 
ments. Development of any special provisions 
and a general understanding of the contract re- 
quirements are a vital part of the contract process 
prior to the opening of bids. 

Statutory Authority G.S. 143-135.26(4). 

SECTION .0300 - EVALUATION OF 
CONTRACTORS 

.0301 DEFINITIONS 

(a) "Pre-Bid Phase" is the phase of the contract 
work prior to receipt of bids. Not every project 
lends itself to the need for pre-bid meetings or 
site visits, but every project should be evaluated 
to determine if this phase is required (See Rule 
.0202 of this Subchapter). There is normally no 
firm requirement for a contractor to participate 
in pre-bid conferences or site visits, if such are 
conducted. However, if utilized, the interest or 
participation by a contractor in this phase of the 
construction process does demonstrate a good 
faith effort by a prime contractor to understand 
the project requirements and resolve differences 
prior to bid opening. For this reason, partic- 
ipation by contractors in this phase does clearly 
demonstrate an effort on the contractor's part to 
facilitate the construction process and should, 
therefore, be evaluated. The Capital Projects 
Coordinator must be involved in this process. 

(b) "Contract Award Phase" is the critical pe- 
riod during the award process and includes but 
is not limited to submission of all documents re- 
quired for award, including Minority Business 
Enterprise (MBE) data, bonds, insurance doc- 
umentation, and the executed contract docu- 
ments. 

(c) "Construction Phase" is the most critical 
portion of the work and includes not only field 
execution of the work but also as a minimum: 
project/job site mobilization, shop drawing 
processing, development of job schedule, 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



466 



PROPOSED RULES 



coordination 'cooperation with other contractors, 
owner and designer as appropriate, coordination 
of the activities of sub-contractors, field super- 
vision, prosecution of the works, adherence to 
quality standards, timeliness of response to field 
conditions or modified job requirements includ- 
ing change order management. The Capital 
Projects Coordinator must be involved in the job 
execution to the degree that meaningful evalu- 
ations can be prepared for this phase; this in- 
volves Capital Projects Coordinator's attendance 
at monthly progress meetings or more often if 
necessary. Attendance at and participation in 
scheduled progress meetings by prime contractors 
shall be evaluated; special provision shall be 
made for evaluation or contractors who have 
been assigned project coordinator duties. 

(d) "Post Construction Phase" includes but is 
not limited to the development and completion 
of the job punch list, assembly of all warranty 
information and product brochures, and pro- 
vision of "as built" information. The Capital 
Projects Coordinator must maintain continuing 
involvement in the project until final close-out 
to evaluate the contractor's performance in this 
final phase. 

Statutory Authority G.S. 143-135.26(4). 

.0302 OVERALL JOB PERFORMANCE 

(a) The Capital Projects Coordinator shall de- 
termine the contractor's overall performance for 
the completed project. The overall rating is in- 
tended to reflect the performance of the prime 
contractor(s) in fulfilling the terms of their con- 
tract. 

(b) The Capital Projects Coordinator will take 
into consideration the clarity of the project plans 
and specifications, any owner's special require- 
ments placed on the project, and other factors 
such as weather and overall difficulty of the con- 
struction in assigning the overall evaluation. 
Obviously, the terms of the contract including 
project scheduling, cooperation among prime 
contractors, and other factors shall be considered. 
Further, the Capital Projects Coordinator will 
consider the impact of other factors, outside the 
contractor's control, on job performance such as 
owner's or designer's failure to promptly process 
catalog material submittals, change orders, or 
detailed inspections which impinge upon job 
progress. 

(c) The Capital Projects Coordinator must be 
involved in the project during the construction 
phase to adequately provide a meaningful evalu- 
ation and shall invite input from the owner's 
representative and the State Construction Office. 



(d) The project designer shall be offered the 
opportunity to provide an assessment of the 
prime contractor(s) at job completion. 

(e) On all multiple prime capital improvement 
projects, each prime contractor shall be offered 
the opportunity to provide input concerning the 
prime contractor being evaluated. 

(f) The Capital Projects Coordinator may also 
evaluate the work performed by a sub-contractor 
or material supplier required to be named within 
the terms of the contract when such evaluation 
will provide clarification or enhancement of the 
evaluation assigned to the prime contractor. At 
the discretion of the Capital Projects Coordina- 
tor, input may be invited from any or all sub- 
contractors or material suppliers required to be 
named within the terms of the contract. If un- 
solicited input is received by the Capital Projects 
Coordinator from a sub-contractor or material 
supplier required to be named within the terms 
of the contract, such input may be considered in 
the evaluation process. 

(g) The Capital Projects Coordinator shall be 
responsible for the final overall rating, which is a 
number rounded to one significant digit past the 
decimal (e.g., 2.5, 3.4, etc.) and shall be listed on 
the bar line noted as "Overall Rating." The 
evaluations for sub-phases of the project are to 
be completed on the rating form but may show 
as an "X" or a numerical rating on the line for 
the sub-phase at the option of the Capital 
Projects Coordinator. This summary evaluation 
shall not necessarily reflect a precise numerical 
averaging of scores for the various project phases 
but will be generally representative of those 
scores. 

(h) Prior to completion of the final contractor 
evaluation, the Capital Projects Coordinator 
shall submit the proposed evaluation to the 
prime contractor for comment. Comments re- 
ceived from the prime contractor shall be con- 
sidered by the Capital Projects Coordinator. 

(i) To be timely, and useful, contractor evalu- 
ation data will be accumulated within 30 days of 
final project acceptance. At this stage, the Cap- 
ital Projects Coordinator shall prepare the final 
contractor evaluation, provide a copy to the 
prime contractor being evaluated, and submit the 
final evaluation to the Office of State Con- 
struction. The form approved by the SBC shall 
be used for this purpose. 

Statutory Authority G.S. 143-135.26(4). 

.0303 INTERIM CONTRACTOR EVALUATION 

The prime contractor(s) may request prepara- 
tion of an interim evaluation form by the Capital 
Projects Coordinator or the Capital Projects 



46? 



6:9 NORTH CAROLINA REGISTER August I, 1991 



PROPOSED RULES 



Coordinator may elect to prepare an interim 
evaluation. The Capital Projects Coordinator 
shall seek input from the project designer if an 
interim evaluation is provided. This interim 
evaluation is intended to reflect performance to 
date and should be used as a guidance device for 
correction of performance prior to the final eval- 
uation. 

Statutory Authority G.S. 143-135.26(4). 

.0304 SUBMISSION OF FINAL EVALUATION 

The Capital Projects Coordinator shall submit 
the completed final evaluation to the SCO with 
a copy to the prime contractor. The prime con- 
tractor shall have the opportunity to comment 
on the evaluation to the SCO with a copy to the 
Capital Projects Coordinator. These final eval- 
uation comments shall become a part of the final 
evaluation record. The final contractor evalu- 
ation shall be completed and presented to the 
SCO within 60 days of the project's final accept- 
ance. SCO will monitor the completion of all 
required evaluations and will not close out a 
project on which all evaluations have not been 
performed. If the evaluation is not completed 
within the prescribed time frame, the SBC may 
advise SCO to process no further contract awards 
for an agency until the evaluation is complete. 
Under such circumstances, the SBC will require 
the Capital Projects Coordinator to appear be- 
fore the Commission to explain why the evalu- 
ation has not been completed. 

Statutory Authority G.S. 143-135.26(4). 

.0305 REPORT COMPILATION 

(a) SCO will be responsible for maintaining 
contractor evaluation data. This data shall be 
maintained on an individual job basis, and shall 
also be maintained cumulatively by contractor 
(based on contractor license number). 

(b) The data maintained by the SCO will reflect 
performance history for a period of five years. 
All evaluation data on completed projects over 
five years old will be removed from SCO files and 
will not be used as a factor in the cumulative 
evaluation. 

(c) A contractor's cumulative evaluation which 
falls below a mark of 3.5 will be determined to 
have provided an unsatisfactory level of per- 
formance and may not be allowed to bid on or 
serve as a sub-contractor on State capital im- 
provement projects during a corrective period. 
All references to pre-bid disqualification status in 
this Section shall also be considered to apply to 
disqualification of a prime contractor to serve as 



a sub-contractor on State capital improvement 
projects during the disqualification period. 

(d) To be utilized for pre-bid disqualification, 
a prime contractor's cumulative evaluation must 
be based on a minimum of three evaluations on 
at least three separate capital projects. Further, 
if a contractor is assigned a single final evaluation 
of 2.5 or lower, this action alone shall be suffi- 
cient to call the contractor's performance into 
question resulting in pre-bid disqualification 
during a corrective period. 

(e) In both instances, i.e., a cumulative mark 
falling below 3.5 or a single evaluation of 2.5 or 
lower, the SCO shall convene a panel of five 
persons to review the evaluation and made a re- 
commendation to the SBC for disqualification 
of the contractor for bidding. The panel shall 
consist of a minimum of three design/ con- 
struction professional State employees of which 
a minimum of one employee shall be a licensed 
architect or engineer as appointed by the Director 
of State Construction and two members of the 
SBC as appointed by the Chairman of the 
Commission of which a minimum of one shall 
be a licensed contractor. 

(f) In all instances, notification of a contractor 
having been assigned to a pre-bid disqualification 
status shall be by the Chairman of the State 
Building Commission and only then after review 
and approval by the Commission of the disqual- 
ification action. 

(g) The normal disqualification as approved by 
the Commission shall be for a period of two 
years. The two-year period is intended to pro- 
vide opportunity for a contractor to implement 
significant corrective action to improve perform- 
ance. At the completion of the two-year period, 
the prime contractor can make application for 
reinstatement to the qualified bidders list; rein- 
statement will be subject to action by the SBC. 
If the SBC approves reinstatement, the contrac- 
tor's pre-bid disqualification will be removed, 
thus allowing the contractor to bid. 

(h) Removal of a contractor from the pre-bid 
disqualification status, upon approval by the 
SBC, will involve deletion of all evaluations from 
the State Construction Office's records. 

(i) If a contractor has been removed from the 
qualified bidders list by virtue of accumulated 
evaluations falling below 3.5 and routine removal 
of five-year old evaluations causes the contractor 
to achieve an overall evaluation score of 3.5 or 
higher, the contractor will not be automatically 
reinstated to the qualified bidders list but rather 
must remain in a disqualified status for a total of 
two years with reinstatement considered by the 
SBC as outlined in this Rule. If after the two- 
year corrective period the SBC does not approve 



6:9 NORTH CAROLINA REGISTER August I, 1991 



468 



PROPOSED RULES 



removal of a contractor from the pre-bid dis- 
qualification status, the prime contractor will be 
allowed the opportunity to reapply after a period 
of 12 months and annually thereafter until the 
pre-bid disqualification status is removed. 

(j) Lists of all contractors who are in a pre-bid 
disqualification status will be maintained by the 
SCO. Prior to bid opening, the project designer 
will be responsible for obtaining from the SCO 
a list of those contractors in a pre-bid disquali- 
fication status and shall ensure that no bids for 
State capital improvements projects will be read 
from a contractor in such status. 

Statutory Authority G.S. 143-135.26(4). 

SECTION .0400 - POST-EVALUATION 
PROCEDURES 

.0401 POST-OCCUPANCY EVALUATION 

Following project close-out, the prime contrac- 
tor is often required to take remedial action to 
correct discrepancies which fall under product or 
construction warranty. While this phase of the 
project normally proceeds without serious diffi- 
culty, Capital Projects Coordinators may at their 
option, submit a special evaluation during the 
contract warranty period if circumstances dictate. 
This special evaluation will involve completion 
of the optional post-occupancy evaluation por- 
tion of the form but will not normally involve 
re-computation of the evaluation(s) assigned for 
the previous four phases. A new overall con- 
tractor evaluation will be assigned which will take 
into consideration the previously assigned evalu- 
ation. If the post-occupancy contractor evalu- 
ation is completed, the contractor being 
evaluated will be afforded the same opportunity 
to provide input on the evaluation as was pro- 
vided on the evaluation made at job construction 
completion. 

Statutory Authority G.S. 143-135.26(4). 

.0402 AWARDS PROGRAM 

Capital Projects Coordinators who determine 
that contractor performance on a completed 
capital improvement project merits special re- 
cognition may nominate the contractor for a 
Certificate of Merit. Nominations will be made 
by the Capital Projects Coordinator to the SCO 
which will screen the nominees and will in turn 
make appropriate recommendations to the SBC. 
The SCO may also initiate award recommen- 
dations. The SBC will consider all nominations 
and make final approval of all awards. The State 
Building Commission shall arrange for presenta- 
tion of the certificates at a suitable ceremony 



during a time and place of its own choosing; 
however, these presentations will normally be 
made during the annual State Construction 
Conference. The SCO shall provide staff support 
to the State Building Commission for this pro- 
gram. 

Statutory Authority G.S. 143-135.26(4). 

.0403 APPEALS OF ASSIGNED EVALUATIONS 
OR DISQUALIFICATION FROM 
BIDDING 

(a) If a prime contractor considers that the as- 
signed evaluation is improper and the opportu- 
nity for rebuttal is insufficient to resolve the 
matter, the prime contractor may appeal the 
action to the SCO. It is emphasized that this 
appeal is an appeal to an assigned evaluation 
score and is separate from an appeal resulting 
from assignment to a non-qualified bidder status 
described in Rule .0305 of this Subchapter. 

(b) To evaluate an appeal of an individual final 
or interim evaluation, the SCO will appoint and 
convene a rating panel of five persons of which 
three will be professional State employees and of 
the State employees at least one member is a li- 
censed professional architect or engineer to hear 
the appeal and render a decision. The remaining 
two members, one of which will be a licensed 
contractor, are to be from the SBC as appointed 
by the Chairman. The hearing shall involve, at 
a minimum, the Capital Projects Coordinator 
and the owner's representative as well as repre- 
sentatives of the prime contractor who shall ap- 
pear before the panel and which is open to the 
public. The SCO hearing panel shall issue a re- 
port to the SBC on the hearing and the decision 
reached. 

(c) If the Capital Projects Coordinator or prime 
contractor desire further recourse to the initial 
decision by the SCO on an assigned evaluation 
or a decision by the SBC concerning disquali- 
fication to bid on state capital improvement 
projects or a decision by the SBC to not reinstate 
a contractor to the bidders list, the decision may 
be formally appealed to the Office of Adminis- 
trative Hearings pursuant to N.C.G.S. 150B. 

Statutory Authority G.S. 143-135.26(4). 

TITLE 2 - DEPARTMENT OF 
AGRICULTURE 



1 V otice is hereby given in accordance with G.S. 
150B-12 that the Genetic Engineering Review 
Board intends to amend nde(s) cited as 2 NCAC 



469 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



48E .0101, .0302 - .0303; and adopt rule(s) cited 
as 2 NCAC 48E .0202. 

1 he proposed effective date of this action is De- 
cember 1 , 1991 . 

1 he public hearing will be conducted at 10:00 
a.m. on September 4, 1991 at the Conference 
Room, L.Y. Ballentine Bldg., 2109 Blue Ridge 
Rd., Raleigh, NC 27612. 

Comment Procedures: Interested persons may 
present statements either orally or in writing at the 
public hearing or in writing prior to the hearing 
by mail addressed to W.A. Dickerson, Secretary 
of the Genetic Engineering Review Board, N.C. 
Department of Agriculture, Plant Industry Divi- 
sion, P.O. Box 27647, Raleigh, NC 27611. Fur- 
ther information on the proposed rules may be 
obtained by contacting Mr. Dickerson at the above 
address or calling (919) 733-6930. 

CHAPTER 48 - PLANT INDUSTRY 

SUBCHAPTER 48E - GENETICALLY 
ENGINEERED ORGANISMS 

SECTION .0100 - DEFINITIONS 

.0101 DEFINITIONS 

In addition to the definitions contained in G.S. 
106-768, as used in this Subchapter: 

(3) "Contained facility" is one that complies 
with applicable National Institutes of Health 
(NTH) Guidelines for Research Involving 
Recombinant DN'A Molecules: Appendix 
G or Appendix K, or the proposed Appen- 
dices P or Qj as published in 52 federal 
Register 29800, August JJ, 1987, and as 
amended in 53 federal Register 53262. De- 
cember 30, 1988, or the final adopted ver- 
sion thereof (regardless of whether the 
facility receives any support from NTH) or 
United States Department of Agriculture 
(USDA) APHIS Standard and Supple- 
mental Conditions for Containment of Plant 
Pests Under Permit. Where a facility is of 
a type not covered by these NTH Guidelines 
or USDA permit conditions, a "contained 
facility" is one that has been determined by 
the Commissioner to be adequately con- 
tained. 

Statutory Authority G.S. 106-768; 106-770. 

SECTION .0200 - DELEGATION OF 
AUTHORITY 

.0202 INSPECTION OF FACILITIES 



The Commissioner may conduct inspections to 
determine if facilities meet the definition of 
"contained faculties" as set forth in 2 NCAC 48E 
.0101(3). 

Statutory Authority G.S. 106-770. 

SECTION .0300 - TYPES OF PERMITS: PERMIT 

APPLICATIONS: PUBLIC NOTICE: PUBLIC 

HEARING: ISSUANCE OF PERMITS: 

MODIFICATION, SUSPENSION, REVOCATION 

OF PERMITS 

.0302 GENERAL PERMITS 

(c) Public notice of any proposed rule regarding 
the establishment of general permits shall be 
given in accordance with G.S. 150B-12 and by: 

(1) mailing a copy of the proposed general 
permit to any person who has filed a 
written request to be so notified; 

(2) publishing notice of the proposed general 
permit at least once in newspapers having 
general circulation throughout North 
Carolina, the State. 

Statutory Authority G.S. 106-770. 

.0303 LIMITED PERMITS 

(b) Application Procedure: 

(1) Where the applicant is making a federal 
submission regarding the proposed release 
or commercial use of a genetically engi- 
neered organism, a copy of the federal 
submission appended to a Submittal 
Summary for the Release of a Genetically 
Engineered Organism, as prescribed by 
the Board, shall constitute an application 
to the Commissioner. 

(2) Where there is no federal submission re- 
garding the proposed release or commer- 
cial use of a genetically engineered 
organism, limited permit applications 
shall be on forms or in the format that the 
Board shall prescribe, appended to a 
Submittal Summary for the Release of a 
Genetically Engineered Organism. Such 
limited permit applications shall include 
all of the data required by the Board. 

(3) An applicant for a limited permit may 
designate as "confidential" any portions 
of the application which the applicant be- 
lieves are entitled to treatment as confi- 
dential business information (CBI), as 
defined in this Subchapter. The applicant 
shall submit two copies of the permit ap- 
plication to the Commissioner: one con- 
taining CBI ("CBI" copy), and the other 
with CBI deleted ("public information" 
copy) from both the application sub- 



6:9 NORTH CAROLINA REGISTER August I, 1991 



470 



PROPOSED RULES 



mission and the Submittal Summary for 
the Release of a Genetically Engineered 
Organism. Deletions of confidential 
business information in the public infor- 
mation copy shall be indicated in a man- 
ner prescribed by the Commissioner. 

(4) Within ten days of receipt of an applica- 
tion, the Commissioner shall send written 
notification to the applicant informing the 
applicant whether or not the application 
is complete and, if not, what additional 
information is required to complete the 
application. 

(5) A completed application shall consist ȣ a 

completed Submittal Summary fe* the 
Release ef a Genetically Engineered 
Organism. aU trf tbe 4afa required m the 
federal submission, efr where there » »» 
federal submission, all t4~ the data required 
hy- the Board. The applicant shall identify 
the specific site of the proposed release as 
soon as feasible after the specific site has 
been determined; provided, however, that 
the Commissioner may require identifica- 
tion of the specific site of the proposed 
release at any time. 

(6) During the permit review process, the 
Commissioner may request additional in- 
formation as deemed necessary to deter- 
mine potential adverse effects of the 
proposed release or commercial use. To 
the extent possible, however, the Com- 
missioner shall base the permit decision 
on the data originally submitted as part 
of a completed permit application. 

(7) The Commissioner may extend or reopen 
the period for public comment to allow 
for public review of additional informa- 
tion received from the applicant. If addi- 
tional information is designated as CB1 
the Commissioner may, upon request, 
extend or reopen the period for petition- 
ing lor access to CB1 pursuant to 2 
NCAC 4SE .1)402. 

(S) {p-f The application may be withdrawn at 
any time by written notice from the ap- 
plicant to the Commissioner. 
(c) Public Notice of Proposed Release or 
Commercial Use. 

( 1 ) Within 15 days after receiving a completed 
permit application, the Commissioner 
shall publish notice and a brief description 
of the proposed release or commercial use 
as follows: 
(A) by mailing a copy of the published no- 
tice and a copy of the public information 
version of the Submittal Summary for the 



Release of a Genetically Engineered 
Organism to any person who has filed a 
written request to be notified of proposed 
releases or commercial uses; and 

(B) by publishing notice of the proposed 
release at least once in a newspaper having 
general circulation in each county where 
a release is proposed to occur and by 
mailing a copy of the public information 
version of the Submittal Summary for the 
Release of a Genetically Engineered 
Organism to the County .Manager or 
County Administrator in the county(ies) 
where the proposed release(s) is to occur; 

(C) by publishing notice of a proposed 
commercial use at least once in newspa- 
pers having general circulation throughout 
the State. 

Statutory Authority G.S. 106-770. 

TITLE 10 - DEPARTMENT OF HUMAN 
RESOURCES 

iV otice is hereby given in accordance with G.S. 
1 SOB- 12 that the Division of Social Services in- 
tends to amend rules cited as 10 NCAC 3 J .2502, 
.2602, .2701. .2904 - .2905, .3001. .3102, .3201 - 
.3202, .3204, .3412. .3414, .3421. .3423, .3425 - 
.3426, .3908, .3918, .3921, .3925 - .3926, .3938 - 
.3940; 35E .0106, .0312; 35F .0002; 411 .0102, 
.0304; 42C .2305, 2703; 42D .1407; 42Q .0011 - 
.0015; 42V .0201, .0501 - .0504, .0802, .0901, 
.0908; 43L .0201, .0401; repeal rule(s) cited as 
10 NCAC 42 H .0203, .0401; 42P .0102, .0201, 
.0401 - .0404; and adopt rides cited as 10 NCAC 
411 .0401 - .0410; 42H .0801, .0901 - .0914; 42V 
.0208 - .0209, .0805; 

1 he proposed effective date of this action is De- 
cember i, 1991. " 

1 he public hearing will be conducted at 10:00 
a.m. on September 4, 1991 at the Division of Fa- 
cility Services, Council Bldg.. Rm. 201, 701 
Barbour Dr. (Dorothea Dix Campus), Raleigh, 
NC. 



Cc 



■ omment Procedures; Comments may be pre- 
sented in writing anytime before or at the public 
hearing, or orally at the hearing. Time limits for 
oral remarks may be imposed by the Commission 
Chairman. Any person may request copies of 
these Rules by calling or writing to Donna Creech, 
D his ion of Social Senices. 325 N. Salisbury St., 
Raleigh. NC 27611. {919) 733-3055. 



471 



6:9 .NORTH CAROLINA REGISTER August I, 1991 



PROPOSED RULES 



Eo 



editor's Note: 10 NCAC 411 .0102, .0304, 
.0401 - .0410 have been filed as temporary rules 
effective July 10, 1991 for a period of 180 days to 
expire on January 5, 1992. 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3J - THE OPERATION OF 
LOCAL CONFINEMENT FACILITIES 

SECTION .2500 - CLASSIFICATION AND 
HOUSING 

.2502 FEMALE INMATES 

Male and female inmates shall not be placed in 
the same confinement unit, dayroom or other 
living area and, in addition, female inmates shall 
be housed out of sight of male inmates. 

Statutory Authority G.S. 153A-221. 

SECTION .2600 - FIRE SAFETY 

.2602 FIRE EQUIPMENT 

Each jail shall provide the following emergency 
fire equipment: 

(1) fire extinguishers that meet all of the re- 
quirements in National Fire Pr e vention 
Protection Association pamphlet number 10 
which is hereby adopted by reference pursu- 
ant to G.S. 1 SOB- 14(c); and 

(2) smoke detection equipment that meets the 
requirements of the North Carolina State 
Building Code. 

Statutory Authority G.S. 153A-221. 

SECTION .2700 - SECURITY 

.2701 GENERAL SECURITY REQUIREMENTS 

Each jail shall meet the following security re- 
quirements: 

( 1 ) provide for the secure confinement of in- 
mates from the time of their passage through 
the security perimeter until release; 

(2) provide for the locked storage of firearms 
whon before persons enter the security per- 
imeter; 

(3) prevent the passage of contraband; 

(4) prevent unauthorized contact between in- 
mates and persons from outside the jail; 

(5) provide a ground-level perimeter exterior 
that is well lighted; and 

(6) provide a communications link with outside 
agencies for use in emergencies. 

Statutory Authority G.S. 153A-221. 



SECTION .2900 - SANITATION AND 
PERSONAL HYGIENE 

.2904 SHOWERS AND TOILETS 

Inmates shall have access to showers a mini- 
mum of three times per week. Inmates on work 
release shall have daily access to showers. Bath 
towels and soap shall be provided. Inmates shall 
have unrestricted access to toilets. 

Statutory Authority G.S. 153A-221. 

.2905 PERSONAL HYGIENE ITEMS 

(a) Every inmate detained over 24 hours shall 
be issued without charge the following items as 
appropriate: 

(1) Toothbrush; 

(2) Toothpaste or powder; 

(3) Comb; and 

(4) Feminine hygiene products. 

(b) After a newly admitted inmate has ex- 
hausted his or her initial supply of personal hy- 
giene items, each jail shall make the listed items 
available either for purchase or without charge. 
The items shall be resupplied to indigent inmates 
without charge. 

Statutory Authority G.S. I53A-221. 



SECTION .3000 



COMMISSARY OR CANTEEN 
SERVICES 



.3001 AVAILABILITY OF SERVICES 

Each jail shall make commissary or canteen 
items, including snacks and personal hygic - no care 
products, available for purchase by inmates. The 
items shall be available either directly from offi- 
cers or through contract vending. The price of 
these items shall be no higher than local retail 
prices. Snacks and personal care products do not 
have to be made available for purchase if they are 
provided without charge. 

Statutory Authority G.S. 153A-221. 

SECTION .3100 -FOOD 

.3102 MEAL SERVICE 

(a) Each jail shall provide at least three meals 
for inmates, two of which must be hot, at regular 
times during each 24-hour period. There shall 
be not more than 14 hours between the evening 
meal and breakfast. 

(b) Food shall be served to inmates on indi- 
vidual serving trays. Eating utensils, consistent 
with security considerations, and condiments 
shall be provided. 

(c) While food is being transported, either from 
inside or outside the jail it shall be covered to 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



472 



PROPOSED RULES 



prevent contamination. an4 to maintain Food 
must be maintained at appropriate serving tem- 
peratures. 

(d) Food shall never be used as a reward or 
punishment. 

(e) Each jail shall keep a daily record of the 
number of meals served. 

Statutory Authority G.S. J53A-22I. 

SECTION .3200 - HEALTH CARE OF INMATES 
AND EXERCISE 

.3201 MEDICAL PLAN 

(a) A written medical plan shall be developed 
in compliance with G.S. 153A-225 and it shall 
be available for ready reference by jail personnel. 
The medical plan shall include a description of 
the health services available to inmates. 

(b) The written plan shall include policies and 
procedures that address the following areas: 

(1) Health screening of inmates upon admis- 
sion; 

Handling routine medical care; 
The handling of inmates with chronic ill- 
nesses or known communicable diseases 
or conditions; 

Administration, dispensing and control of 
prescription and non-prescription 

medications; 

Handling emergency medical problems, 
including but not limited to emergencies 
involving dental care, chemical depend- 
ency, pregnancy and mental health; 
Maintenance and confidentiality of med- 
ical records; and 

Privacy during medical examinations and 
conferences with qualified medical per- 
sonnel. 

(c) Inmate health complaints must be solicited 
daily by a health professional ©f by a» officer. 
Inmates must be provided an opportunity each 
day to communicate their health complaints to a 
health professional or to an officer. Qualified 
medical personnel shall be available to evaluate 
the medical needs of inmates. A written record 
shall be maintained of the request for medical 
care and the action taken. 

(d) Inmates shall not perform any medical 
functions in the jail. 

(e) The medical plan shall be reviewed annu- 
ally. 

Statutory Authority G.S. 153A-221. 

.3202 HEALTH SCREENING FORM 

The health screening form completed upon ad- 
mission by an officer shall be available to jail of- 



(2) 
(3) 



(4) 
(5) 

(6) 
(7) 



ficers, except for information that is legally 
required to be kept confidential, and a copy of 
the form shall be kept in any medical file that is 
maintained for inmates. 

Statutory Authority G.S. 153A-22I. 

.3204 EXERCISE 

After the fourteenth consecutive day of con- 
finement, each inmate shall be provided oppor- 
tunities for physical exercise at least three days 
weekly for a period of one hour each of the days. 
Physical exercise shall take place either in the 
confinement unit if it provides adequate space or 
in a separate area of the jail that provides ade- 
quate space. The opportunity for physical exer- 
cise shall be documented. 

Statutory Authority G.S. I53A-22I. 

SECTION .3400 - STANDARDS FOR NEW JAIL 
DESIGN AND CONSTRUCTION 

.3412 FLOORS, CEILINGS, AND WALLS 

fa) AH floors » confinement units shall b# 
slop e d toward drains locat e d outside ef tke eeU 
areas, a»4 the drains shall be tamper resistant if 
necessary fof security. 

f&4 /Ml ceilings, walls, and floors in confinement 
units shall have a finished surface that is easily 
cleaned, nontoxic, and predominantly of light 
colors. 

Statutory Authority G.S. 153A-221. 

.3414 WINDOWS AND GLAZING 

(a) Windows and window framing, including 
glazing, shall be made of materials necessary to 
provide the degree of security required for the 
area in which they are used. 

(b) Glazing shall be diffused or obscured if it 
affords a view into confinement units from out- 
side the jail. 

(c) View panels shall be made of materials 
necessary to provide the degree of security re- 
quired for the area in which they are used, and 
those used for confinement units shall have an 
area that permits observation of the. entire unit. 

(d) Natural light shall be admitted into all 
confinement units either directly or indirectly. 



Statutory Authority G.S. I53A-22I. 

.3421 CONFINEMENT L NITS 

The governing body shall decide what confine- 
ment unit or combination of confinement units 
it will include in its jail: single segregation cells, 
single cells, multiple occupancy cells, or 
dormitories provided each county or region has 



473 



6:9 NORTH CAROLINA REGISTER August I, 1 99 1 



PROPOSED RULES 



the means to protect or isolate an inmate, when 
necessary, in a cell with a toilet, a sink, a drinking 
fountain and a security mirror. 

Statutory Authority G.S. I53A-22I. 

.3423 STANDARDS FOR SINGLE CELLS 

Each single cell shall have: 

(1) a minimum floor space of 50 square feet; 

(2) a minimum floor dimension of 7 feet; 

(3) a toilet, a sink, a drinking fountain and a 
security mirror; and 

(4) access to a dayroom. 

The requirements of Paragraph (3) of this Rule 
shall be satisfied if inmates have unrestricted ac- 
cess, except during emergencies, to a davroom 
that includes one toilet per eight inmates, one 
sink with a security mirror per eight inmates and 
one water fountain. 



Statutory Authority G.S. 153A-221. 

.3425 STANDARDS FOR DAYROOMS 

Each dayroom shall have: 

(1) a security vestibule at its entrance; 

(2) a minimum floor space of 105 square feet 
or 35 square feet per inmate, whichever is 
greater; 

(3) sufficient seating and tables for each inmate; 

(4) a telephone jack or other telephone ar- 
rangement provided within the dayroom; 

(5) a way for officers to observe the entire area; 
and 

(6) one toilet per eight inmates unless the in- 
mates have unrestricted access to a cell with 
a toilet, sink, drinking fountain and security 
mirror. 

Statutory Authority G.S. I53A-221. 

.3426 STANDARDS FOR DORMITORIES 

Each dormitory shall house no more than 40 
inmates and shall have: 

(1) a minimum floor space of 70 square feet 
per inmate including both the sleeping and 
dayroom area; 

(2) one shower per eight inmates, one toilet per 
eight inmates, one sink with a security mir- 
ror per mi eight inmates, and one water 
fountain; ai*4 » security mirror; 

(3) a telephone jack or other telephone ar- 
rangement provided within the dormitory; 

(4) space designed to allow a variety of activ- 
ities; 

(5) sufficient seating and tables for all inmates; 
and 



(6) a way for officers to observe the entire area 
from the entrance. 

Statutory Authority G.S. 153A-221. 

SECTION .3900 - MUNICIPAL LOCKUPS 

.3908 FEMALE INMATES 

Male and female inmates shall not be placed in 
the same confinement unit, dayroom or other 
living area and, in addition, female inmates shall 
be housed out of sight of male inmates. 

Statutory Authority G.S. 153A-221. 

.3918 SANITATION AND TOILETS 

Each municipal lockup shall comply with the 
North Carolina Commission for Health Services 
rules governing sanitation as codified in Title 15A 
Chapter 18A Section .1500 and which are hereby 
adopted by reference pursuant to G.S. 
150B-14(c). Inmates shall have unrestricted ac- 
cess to toilets. 

Statutory Authority G.S. 153A-22I. 

.3921 MEAL SERVICE 

(a) Each municipal lockup shall provide at least 
three meals for inmates, two of which must be 
hot, at regular times during each 24-hour period. 
There shall be not more than 14 hours between 
the evening meal and breakfast. An inmate shall 
be provided a meal if he is in the municipal 
lockup during a normal meal hour. 

(b) Food shall be served to inmates on indi- 
vidual serving trays. Eating utensils, consistent 
with security considerations, and condiments 
shall be provided. 

(c) While food is being transported, either from 
inside or outside the jail, it shall be covered to 
prevent contamination. wh4 te- maintain 1 'ood 
must be maintained at appropriate serving tem- 
peratures. 

(d) Food shall never be used as a reward or 
punishment. 

(e) Each municipal lockup shall keep a daily 
record of the number of meals served. 

Statutory Authority G.S. I53A-221 . 

.3925 MEDICAL PLAN 

(a) A written medical plan shall be developed 
in compliance with G.S. 153A-225 and it shall 
be available for ready reference by municipal 
lockup personnel. The medical plan shall in- 
clude a description of the health services available 
to inmates. 

(b) The written plan shall include policies and 
procedures that address the following areas: 



6:9 NORTH CAROLINA REGLSTER August I, 1991 



474 



PROPOSED RULES 



( 1 ) Health screening of inmates upon admis- 
sion: 

(2) Routine medical care; 

(3) The handling of inmates with chronic ill- 
nesses or known communicable diseases 
or conditions; 

(4) Administration, dispensing and control of 
prescription and non-prescription 
medications; 

(5) Handling emergency medical problems, 
including but not limited to emergencies 
involving dental care, chemical depend- 
ency, pregnancy and mental health; 

(6) Maintenance and confidentiality of med- 
ical records; and 

(7) Privacy during medical examinations and 
conferences with qualified medical per- 
sonnel. 

(cl Inmate health complaints mur . t be solicited 
daily bv a health professional &f by a» officer. 
Inmates must be provided an opportunity each 
d.i\ lo_ n'mrn'iiiR .ik- tlu'ir Ik'a'.ih n'niplami^ to a 
health professional or to an officer. Qualified 
medical personnel shall be available to evaluate 
the medical needs of inmates. A written record 
shall be maintained of the request for medical 
care and the action taken. 

(d) Inmates shall not perform any medical 
functions in the lockup. 

(e) The medical plan shall be reviewed annu- 
ally. 

Statutory Authority G.S. 153A-221. 

.3926 HEALTH SCREENING FORM 

The health screening form completed upon ad- 
mission by an officer shall be available to mu- 
nicipal lockup officers, except for information 
that is legally required to be kept confidential, 
and a copy of the form shall be kept in any 
medical file that is maintained for inmates. 

Statutory Authority G.S. 153A-22I . 

.3938 FLOORS, CEILINGS. AND WALLS 

(*} Att floors m confinement units , shall be 
"lnped toward drains located outside (4 tbe eett 
areas. f»4 At* drains shall be tamper r e sistant tf 
necessary fef security. 

<-b+ All ceilings, walls, and floors in confinement 
units shall have a finished surface that is easily 
cleaned, nontoxic, and predominantly of light 
colors. 

Statutory Authority G.S. J53A-22I. 

.3940 WINDOWS AND GLAZING 



(a) Windows and window framing, including 
glazing, shall be made of materials necessary to 
provide the degree of security required for the 
area in which they are used. 

(b) Glazing shall be diffused or obscured if it 
affords a view into confinement units from out- 
side the municipal lockup. 

(c) View panels shall be made of materials 
necessary to provide the degree of security re- 
quired for the area in which they are used, and 
those used for confinement units shall have a 
minimum area of 180 square inches and permit 
observation of the entire unit. 

(d) Natural light shall he admitted mto all 
confinement units either directly or indirectly 

Statutory Authority G.S. 153A-221. 

CHAPTER 35 - FAMILY SERVICES 

SLBCHAPTER 35E - SOCIAL SERVICES BLOCK 
GRANT (TITLE XX) 

SECTION .0100 - CONDITIONS OF 
ELIGIBILITY 

.0106 WITHOUT REGARD TO INCOME 
STATES 

Individuals may be determined eligible for the 
following services on the basis of need for the 
service and without regard to their income: 

(1) adoption services; 

(2) foster care services for adults: 

(3) foster care services for children; 

(4) protective services for adults; 

(5) protective services for children; 

(6) child day care services, transportation ser- 
vices, and federally funded abortion and 
sterilization resource items of health support 
services funded under the Social Services 
Block Grant (Title XX) that are needed in 
conjunction with protective services may be 
provided without regard to income during 
the first 12 months that protective services 
are provided if such service is available in the 
county in which the individual lives and the 
aaencv has received a report pursuant to 
G.S. 7A-543 or G.S. 108A-102. has initiated 
protective services in accordance with pro- 
gram policies, and has determined that such 
other services are needed to support the 
provision of protective services; 

(7) delinquency prevention (including residen- 
tial care); 

(8) employment and training support services 
(including transportation and resource 
items); 

(9) health support services (including trans- 
portation and resources for the aging, disa- 



475 



6:9 .XORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



bled or handicapped but excluding 
sterilization and abortion resource items); 

(10) individual and family adjustment services 
(including camping component); 

(11) problem pregnancy (including residential 
care); 

(12) community living services; 

(13) day care services for adults; 

(14) housing and home improvement services 
(including resource items); 

(15) in homo senices: choro sonicos; in-home 
aide services (levels I through IV); 

(44-} in homo senices: homomakor senices; 

(16) {¥fy personal and family counseling; 

(17) f4&)- preparation and delivery of meals; and 

( 18) (4-Q+ residential treatment for the emo- 
tionally disturbed. 

Statutory Authority G.S. I43B-I53(2a)b. 

SECTION .0300 - SERVICE DEFINITIONS 

.0312 IN-HOME AIDE SERVICES 

Chore a«4 homomakor In-home aide services 
are provided to enable individuals and families to 
remain in or return to their own homes and 
communities. To this end, at least one level of 
thoDO s e rvic e s this service must be available in 
each geographic area. 

(4-) Choro Senices 

I ■• \ Urnnin ^ ,in ■ % . • , \ I Vi Q gv% eflgJlgfl g »ti ii' t *i ■■ i 1 1 i ^ 

^TTT 1 1 111IU1 J E >*- 1 » rein V. IIl^lU LTV I T [CU3 iTTCTTTTtT tttct 

provision ef eafe f-ef p e rsons ef assistanc e 
te persons by performing homo manage 
m e nt ef personal e»fe tasks that afe es- 
sential te the activities ef daily living. 
Such tasks afe p e rform e d te- e nable indi 
viduals to- remain » their own homos 
when they afe unable te carry e+rt these 
activities fef themselves an4 wh e r e ft» re- 
sponsible p e rson is availabl e f-ef these 
tasks. Chore servicoo is provided und e r 
professional direction aftd only by persons 
who have r e ceived training f-ef the proper 
p e rformance ef such tasks. Prof e ssional 
direction m e ans guidance &&4 supenision 
i» implementing a- plan ef eafe based e» 
individual assessm e nt ef a person's health 
status af>4 particular eafe needs. Home 
management includes tasks r e lated te- 
maintaining the homo, shopping fof a«4 
preparing meals *h4 providing essential 
transportation f-ef the client. P e rsonal 
eafe includes tasks related te physical eafe 
an4 leeding ef clients. 44» specific tasks 
that- may be performed afe defined ae- 
cording te l e v e l ef the task, supervision 
required a«4 training required. 



(b) Component. At- county option, non 
institutional respite eare may be provided 
to- a client i» the home ef the client ef his 
primary caregiver f-ef a period ef- ep te e«e 
week, including 34 hour care. Tasks pro 
vided af© homo managomont, personal 
care, a»4 custodial supenision. 

fe) Resource Items. Nono. 

(4) Target Population. Individuals who afe 
unable te carry e«t tasks essential te the 
activiti e s (4 daily living, who have ne- re- 
oponsiblo person available te- p e rform 
these tasks, af>4 who need this service m 
ord e r te remain i» their own homos. 
Within the target population, eligible eh- 

utit^ .- l-i ■ l 1 1 !■. , i r\r. u ■ « g ■ » ■ ' ■ ■ 1 "> Q ■* . i i~ | >»^ U P I ■ ■' ■ »i 4 1 i , ■ 
L. 111.' ' 1 1 RID I >\J PTTTTTTrvTI CTTTTTT7 3CI T 1W ~" 111 TTTCT 

following order ef priority: 

(*4 adults w4*e- need the service as part ef 
a» adult protective services plan; 

(if) aged ef disabled individuals who need 
the sendee to prevent placement i» sub 
stitute eafe fergr nursing homo, 
domiciliary ' hom e , fost e r homo); 

(iif) aged ef disabl e d adults who need the 
senice te maintain self sufficiency a«4 
present deterioration; 

(4*4 aged ef disabled individuals who ea» 
receive some needed eafe from others bwt 
who need the senic e te enable their 
caregivers te- maintain employment ef te 
othenvise support the caregiver's efforts te- 
keep the person m his own home; 
(-34 I Iomemaker Senices 
fa) Primary Senice. 1 Iomemak e r senices afe 
supportive senices provid e d by qualified 
paruprofessionals who ate trained, 
equipped, assigned, ami supervised by the 
agency te- help maintain, strengthen, a«4 
safeguard the ewe ef children aft4 the ag- 
i»g a»4 the functioning ef dependent, 
physically ef emotionally iU- a* hand 
icapped children aftd adults i» their own 
homes ef children i» fost e r homes. Such 
services meet standards set by the North 
Carolina Department ef Human Re- 
oources, Division ef Social Senices, which 
afe based ©» standards ef tbe National 
Homecaring (Council, -Ifter Thes e senices 
include providing assistanc e i» manage 
ment el household budgets, planning ft«- 
tritious meals, purchasing a«4 preparing 
foods, a&4 help with housekeeping duti e s 
a«4 basic personal a«4 health care, with 
focus eft avoiding unnec e ssary aft4 e*- 
ponsive institutional care. i\lso includ e d 
a*e helf> aft4 instruction te famili e s aft4 
iiiilivitluals m- managing te hve within a 
public assistanc e ef other limited budget 



6:9 NORTH CAROLINA REGISTER August I, 1991 



476 



PROPOSED RULES 



m4 m- coni i umor education generally. P»f 
families with children, these sefviees alse 
include the provision e£ temporary child 
ease to- avoid placing children away from 
home when parent s aw absent ©f ih% an4 
help aft4 instruction i» sound child 
roaring practices including assistance ae4 
instruction m basic ease fof substantially 
handicapped children. 

(4rt Components. None. 

(©} Resource' Items. None. 

(tH Target Population. Adults aft4 children 
who need help t» remaining h* their own 
homes, e* who need heh/> » maintaining, 
strengthening aftd- safeguarding their func 
tioning because ef economic dependency, 
physical e? emotional illness e* handicap. 
Within the target population, eligible eh- 
eftt* shall be provided homemalcer services 
i» At* following ord e r e£ priority: 
fH aged &f disabled adults aftd- children who 
need the service te- avoid impending 
placement m- substitute ea*=e (e-rg-r nursing 
home, domiciliary hom e , foster home), 
ctftd- abused ef neglected adults and- chil 

. 1 r \9-^ I i [i A *-x » \ . J t ^ . -\ -- ^ *— < •■■->-* ■"! r' <-^ '•i <~+ «~\ T '-» 

UI e II tTTTTt rTT^T^T cTTv TrmtT LI J 1 'HI f C,' I CT 

protective sen ices plan: 

fh} children who need the senic e a* part- 
ed a plan ef preventive sen . ices designed 
te- str e ngthen the family a«4 pre" . en e the 
home fof the child, e* as a part el 
permanency planning t» enable a child k+ 
return home from substitute care: 

fitrt adults who hve alone aftth because e£ 
age? disability . illness e* handicap, need 
the senice te- maintain s e lf sulliciency a«4 
prevent deterioration that may- lead te- 
placement m substitute care: 

(+V4 aged ©f disabled individuals who eaw- 
receive some needed trtfe from others b«+ 
who need the service te- enable their 
caregivers te- maintain employment e* to 
othenvise support the caregivers efforts te 
keep them w* their own homos. 

( 1 ) Primary Senice. In- Home Aide Services 
are those paraprofessional services which 
assist individuals and children and their 
families with essential home management 
tasks, personal care tasks, or supemMon. or 
all of the tasks in this Paragraph, to enable 
individuals and children and their families Uj 
remain, and function effectively, m their own 
homes as long as possible. 

(2) Component. In- 1 lome Aide Sen ices may 
be used tor the purpose of providing respite 
tor a priman caregiver or for parents. For 
this purpose. In- 1 lome Aide Senices mav 
be provided to individuals in their own 



homes or in the home of their primary 
caregiver and to children and their families 
in their own homes. Respite Care may 
consist of any level of home management 
or personal care tasks. 

(3) Resource Items. None. 

(4) Target Population. Individuals who are 
unable to cam' out tasks essential to the ac- 
tivities of daily living or the instrumental 
activities ot daih h\ - mg. or both, who have 
no responsible person available to perform 
these tasks, and who need the service in or- 
der to remain in their own homes. Children 
and their families who need help remaining 



in their own homes, or who need help in 
maintaining, strengthening, and safeguarding 
their functioning because of economic de- 
pendency, physical or emotional illness or 
handicap or to preserve and strengthen fam- 
ily functioning. Abo included are children 
and functionally impaired individuals whose 
priman - caregivers or parents need relief 
from evendav caregiving responsibilities in 
order for the children and impaired individ- 
uals to remain at home. Within the target 
population eligible i lients hum be sen ed in 
the following order of priority: 

(a) adults and children for whom the need for 
protective semces has been substantiated 
and the senice is needed as part of a pro- 
tective ser. ;e.s [Man: 

(b) adults who arc at nsk of abuse, neglect or 
exploitation and children who are at risk 
of abuse, neglect, or dependency: 

(c) adults with extensive API or IADL 
impairment who are at nsk of placement 
in substitute care and children who are at 
risk of placement in substitute care; 

(' d ) children who need the senice as part of a 
plan of preventive senices designed to 
strengthen the family and preserve the 
home for the child, or as a part of 



fed 



permanency planning to enable a child to 
return home from substitute care: and 
adults with three or more ADL or IADL 



impairments: 

adults with one or two ADL or IADL 
impairments. 



Statutory Authority G.S. 143B-153. 

SUBCHAPTER 35F - FEES FOR SERVICES 

.0002 SERVICES FOR WHICH FEES ARE 
CHARGED 

Fees must be charged for the following sen'ices 
or resource items when these senices are pro- 
vided to individuals whose gross monthly income 



477 



6:9 



\ORTH CAROLLXA REGISTER 



August 1, 1991 



PROPOSED RULES 



is at or above 100 percent of the state's estab- 
lished income [median income printed in Volume 
44, No. 27 of the Federal Register of 1979 
adopted by reference according to G.S. 
150B- 14(b)] adjusted according to the number 
of persons contained in the income unit. 
(4) chore services; 

( 1) (3) day care services for adults; 

(2) (3} homomaker services; in-home aide ser- 
vices; 

(3) (4) preparation and delivery of meals; 

(4) (44 housing and home improvement re- 
source items only; and 

(5) (44. personal and family counseling services. 

Statutory Authority G.S. 143B-153. 

CHAPTER 41 - CHILDREN'S SERVICES 

SUBCHAPTER 411 - PROTECTIVE SERVICES 

SECTION .0100 - GENERAL 

.0102 CONFIDENTIALITY: CENTRAL 

REGISTRY: ABLSE AND NEGLECT 
CASES 

(a) Information submitted by county depart- 
ments of social services to the central registry of 
abuse and neglect cases is confidential. Non- 
identifving statistical information and general in- 
formation about the scope, nature and extent of 
the child abuse and neglect problem in North 
Carolina is not subject to this Rule of 
confidentiality. Unless bas e d upon a final judg 
m e nt e4 a court ef law-^ the D e partment ei H«- 
man Resources v44i net permit te be divnlgod 
from the central registry, the particulars ef any 
abuse - and- neglect allegation an4 the circum 
stances ef any child an4 hi* family. 

(b) Access to the central registry of child abuse 
and neglect cases is restricted to: 

( 1) staff of the Division of Social Services and 
staff of the Office of the Secretary of the 
Department of Human Resources who 
require access in the course of performing 
duties pertinent to management, mainte- 
nance and evaluation of the central regis- 
try and evaluation of and research into 
abuse and neglect cases reported in ac- 
cordance with G.S. Chapter 7A, Article 
44. Management of the central registry- 
includes the provision of information on 
a case by division staff to a North 
Carolina county department of social ser- 
vices an4 or to an out-of-state social ser- 
vices agency to assure that protective 
services will be made available to such 
child and the child's family as quickly as 
possible to the end that such child will be 



protected and that further abuse or neglect 
will be prevented. 
(44 Non identifying statistical information an4 
general information about the scop e , tair- 
t«fe an4 extent ef- the child abuse an4 
neglect problem in North Carolina » net 
subject te this Rile ef- confidentiality. 

(A) (4) Individuals may receive approval to 
conduct studies of cases in the central 
registry. Such approval must be requested 
in writing to the Director, Division of 
Social Services. The written request will 
specify and be approved on the basis of: 
(l) (44 an explanation of how the findings 

of the study have potential for expand- 
ing knowledge and improving profes- 
sional practices in the area of 
prevention, identification and treatment 
of child abuse and neglect; 

(ii) (434 a description of how the study will 
be conducted and how the findings will 
be used; 

(iii) (-G4. a presentation of the individual's 
credentials in the area of critical inves- 
tigation; and 

(iv) (44) a description of how the individ- 
ual will safeguard information. 

(B) (44 Access will be denied when in the 
judgment of the Director the study will 
have minimal impact on either knowledge 
or practice. 

(2) the county director in order to identify 
whether a child who is the subject of an 
abuse or neglect investigation has been 
previously reported as abused or neg- 
lected, or whether a child is a member of 
a family in which a child fatality due to 
suspected abuse or neglect during the CPS 
investigative period has occurred in any 
county in the state. Information from the 
central registry shall be shared with law 
enforcement or licensed physicians or 1> 
censed physician extenders when needed 
to assist the county director in facilitating 
the provision of child protective services 
to assure that the child and the child's 
family will receive protective services as 
quickly as possible so that such child can 
be protected and further abuse or neglect 
prevented. Information shared horn the 
central registry for child abuse and neglect 
will be limited to: 

(A) the child's name: 

(B) the county that investigated the report; 

(C) the type of maltreatment that was re- 
ported; 

(D) the case decision: 

(E) the date of the case decision; 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



47 S 



PROPOSED RULES 



(1) 



(F) the type of maltreatment found; and 

(G) the relationship of the perpetrator to 
the victim child. 

the Chief Medical Examiner's office and 
law enforcement m the eyent of child 
fatality and there is a need to determine if 
their investigation or evaluation should 
consider child abuse or neglect as a factor 



in the death 
to 



Information will be limited 



that outlined in Subparagraphs 
(b)(2)(A) -(G) of this Rule. 



Statutory Authority 
143B-10; USB- 153' 



G.S. 7 A- 552, 



7A-544; 



SF.CTION .0300 - CHILD PROTECTIVE 
SERVICES: GENERAL 

.0304 RECEIVING REPORTS AND INITIATING 
PROMPT INVESTIGATIONS 

(g) The county director must have an internal 
two level review, including at a minimum the 
worker receiving the report and the worker's 
supervisor, prior to making a decision not to in- 
vestigate a report of abuse or neglect. 

(h) The county director must establish a proc- 
ess bv which the person making a report of abuse 
or neglect mav obtain a review of the agency's 
decision not to investigate the report. The 
proce: ; shall include 



(1) 



(2) 



informing the person that the report will 
not be investigated, the basis for that de- 
cision, and their nght to and the proce- 
dures for obtaining such a review: and 
designating the persons bv whom and the 
m. inner in :: hkh m.kIi re - . lev. -■ u 1 1 1 be 
conducted. 



Statutory Authority G.S. 7A-54; I43B-154. 

SECTION .0400 - COMMUNITY CHILD 
PROTECTION TEAMS 

.0401 NATURE AND PURPOSE OF TEAM 

(a) The community child protection team is a 
group comprised of community representatives 
meeting together on a regular basis to promote 
the development of a community-wide approach 
to the problem of child abuse and neglect. The 
community child protection team is established 
by the director of the county department of social 
services. 

(b) The community child protection team shall 
not encompass a geographic or governmental 
area larger than one county. The county director 
of social services may establish more than one 
community child protection team when needed 
due to caseload size or to access the special ex- 
pertise of existing groups. 



Statutory Authority G.S. 7A-544; 143B-153. 

.0402 DUTIES AND RESPONSIBILITIES OF 
THE TEAM 

The duties and responsibilities of the team shall 
be as follows: 

( 1 ) To review cases of child fatalities as defined 
m Rule .0409(a) of this Section. The pur- 
pose of such review shall be to identify 
whether gaps and deficiencies exist in the 
community child protection system and to 
assist the county director in the protection 
of surviving siblings; 

(2) To review selected active cases as outlined 
in Rule .0405 of this Section in which abuse 
or neglect is suspected or found. The pur- 
pose of such review shall be to assist the 
county director in evaluating allegations of 
abuse or neglect and in planning and pro- 
viding services to prevent further abuse or 
neglect; and 

(3) To recommend and advocate for system 
improvements and needed resources where 
gaps and deficiencies exist. 

Statutory Authority G.S. 7 A- 544; I43B-I53. 

.0403 COMPOSITION OF TEAM 

(a) L'nless the county board of commissioners 
appoints a chair within 30 days notice of a va- 
cancy, the county director shall serve. 

(b) The county director and a member of his 
staff shall participate as members of the team. 

(c) The team will also consist of representatives 
from other human service and law enforcement 
agencies engaged in the provision of services to 
children and their families and of individuals re- 
presenting the community. 

(1) Representatives to be invited by the 
county director to participate shall include 
but not be limited to the following: 

(A) local law enforcement; 

(B) the District Attorney's office; 

(C) the medical profession; 

(D) the local community action agency, as 
defined by the Division of Economic Op- 
portunity; 

(E) school personnel; 

(F) a county social services board member: 
and 

(G) a local mental health professional. 

(2) At their option, the board of county 
commissioners may designate up to five 
representatives of agencies or of the com- 
munity at large to be invited by the 
county director. 



4~9 



6:9 NORTH CAROLINA REGISTER August /, 1991 



PROPOSED RULES 



Statutory Authority G.S. 7A-544; 143B-153. 

.0404 DUTIES AND RESPONSIBILITIES OF 
THE CHAIR 

(a) The chair and county director together shall 
schedule meetings, including time and place, and 
prepare the agenda. 

(b) Within three months prior to, or after, as- 
suming the chairmanship, the chair shall partic- 
ipate in training developed by the Division of 
Social Services. Such training shall address the 
role and function of the child protection team, 
confidentiality requirements, an overview of child 
protective services law and policy, and team re- 
cord keeping. 

Statutory Authority G.S. 7A-544; I43B-IS3. 

.0405 DUTIES OF THE COUNTY DIRECTOR 
OF SOCIAL SERVICES 

Whether selected to serve as chair of the com- 
munity child protection team, or not, the county 
director shall perform the following duties: 

(1) with the exception of those members des- 
ignated by the board of county commis- 
sioners, appoint community child protection 
team members and fill vacancies as they oc- 
cur; 

(2) assure the development of written operating 
procedures for each team to include com- 
position of membership, frequency of 
meetings, confidentiality policies, training of 
members and duties and responsibilities of 
members; 

(3) distribute copies of the written procedures 
to the administrator of all agencies repres- 
ented on the team as well as to each team 
member; 

(4) assure that the team defines the categories 
of cases that will be subject to review by the 
team; 

(5) determine the cases in these categories on 
which he will initiate a review and bring for 
review any case requested by a team mem- 
ber; 

(6) report quarterly to the county board of so- 
cial services, or as required by the Board, on 
the activities of the team; and 

(7) assure that the team meets within 45 days 
of the effective date of these Rules. 

Statutory Authority G.S. 7A-544; I43B-153. 

.0406 RESPONSIBILITY FOR TRAINING OF 
TEAM MEMBERS 

The Division of Social Services shall develop 
and make available for the team members on an 
on-going basis, training materials described in 
Rule .0404(c) of this Section. 



Statutory Authority G.S. 7A-544; 143B-153. 

.0407 FREQUENCY OF MEETINGS 

Community child protection team meetings 
shall be scheduled with sufficient frequency to 
review defined cases selected for review but not 
less than once per quarter. 

Statutory Authority G.S. 7A-544; 143B-I53. 

.0408 RECORDS 

(a) No community child protection team 
member will retain or maintain any records per- 
taining to individual clients. 

(b) The county director shall maintain fists of 
participants for each team meeting and 
confidentiality statements signed by the team 
members and any invited participants. Such re- 
cords will be maintained according to the stand- 
ard administrative record retention schedule. 

(c) Cases receiving child protective services at 
the time of review shall have an entry in the 
child's protective services record to indicate that 
the case was reviewed by the team. 

Statutory Authority G.S. 7A-544; 132-1; 132-3; 
143B-153. 

.0409 CASES SUBJECT TO REVIEW BY THE 
COMMUNITY CHILD PROTECTION 
TEAM 

(a) Each team shall review cases in which a 
child died as a result of suspected abuse or neg- 
lect and a report of abuse or neglect had been 
made about the child or his family to the county 
department of social services within the previous 
12 months or the child or his family were recipi- 
ents of child protective services within the previ- 
ous 12 months. 

(b) Each team shall review other cases in ac- 
cordance with Rule .0405(4) and (5) of this Sec- 
tion. 

Statutory Authority G.S. 7A-544; 143B-153. 

.0410 CONFIDENTIALITY 

(a) The county director is authorized to share 
with the community child protection team any 
information available to him that is needed by 
the team in the execution of their duties as de- 
fined by Rule .0402 of this Section. 

(b) Each team member and invited participant 
shall sign a statement indicating their under- 
standing of and adherence to confidentiality re- 
quirements including the possible civil or 
criminal consequences of any breach of 
confidentiality. 



6:9 NORTH CAROLINA REGISTER August I, 1991 



480 



PROPOSED RULES 



(c) Members of the team who have access to 
client information and fail to comply with the 
rules in this Section shall be denied access to 
confidential information and subject to dismissal 
from the team. 

(d) Any invited participant who is given access 
to client information during the team review and 
fails to comply with the rules in this Section shall 
be denied future participation in team reviews. 

(e) The county director shall not share any in- 
formation which discloses the identity of indi- 
viduals who have reported suspected abuse or 
neglect to the county department of social ser- 
vices. 

Statutory Authority G.S. 7A-544; 108A-80; 
I43B-153. 

CHAPTER 42 - INDIVIDUAL AND FAMILY 
SUPPORT 

SUBCHAPTER 42C - LICENSING OF FAMILY 
CARE HOMES 

SECTION .2300 - SERVICES 

.2305 OTHER PERSONAL SERVICES 

(a) Transportation. The administrator must 
provide &* arrange fof the resident '■% tranc . porta 
t+»ft assure the provision of transportation for the 
residents to necessary resources and activities, 
including transportation to the nearest appropri- 
ate health facilities, social services agencies, 
shopping and recreational facilities, and religious 
activities of the resident's choice. The resident 
is not to be charged any additional fee for this 
service. Sources of transportation may include 
community resources, public systems, volunteer 
programs, tamilv members as well as facility ve- 
hicles. 

Statutory Authority G.S. 131D-2; I43B-153. 
SECTION .2700 - MEDICAL POLICIES 

.2703 MANAGEMENT OF DRUGS 

The administrator is responsible for establishing 
and implementing procedures for the use of drugs 
by residents in the home that are in accordance 
with the requirements presented in this Section. 
The administrator must consult with a 
pharmacist, physician, public health nurse, or 
other registered nurse in establishing these pro- 
cedures. 
(3) 1 abcling of Drugs. 
(b) The container label of each prescription 
drug must include the following informa- 
tion: 



(iv) the directions for use clearly stated and 
not abbreviated. When the prescriber's 
directions change or the label becomes il- 
legible, the container must be relabeled at 
the refilling of the drug and not longer 
than 60 days; 
(4) Administration of Drugs. 
(e) When seh-administration has not been 
ordered, the drugs afe to be given te> the 
resident by- the administrator of other staff 

^TTTTT Ed V l_I \- . ' I Z^. I 1 1 1 1 V TJ UIIU avT^TTrmTtTT l_* T TT^P 

administrator to be capable and appropri 
atcly trained. The administrator ¥rift de- 
termine staff capabl e of- preparing aad 
administ e ring drugs. Staff designated to 
prepare a»d administer drugs wiU be 
trained by- the administrator e* other ex- 
perienced stuff. Training materials wiil 
consist of- this Rule aod the homo's pro 
coduros f-OF the ose of- drugs by- residents. 
Designated staff ift training wol be ob- 
s e rv e d by- the administrator of other ex- 
perienced staff while preparing a«4 
administering drugs until the staff » 
training has demonstrated, by- perform 
anoe, capability is these specific assigned 
tasks. The r e sponsibility foF the adminis 
tration el drugs to residents by- the home 
must be delegated by a licensed physician, 
a licensed dentist of a r e gist e r e d nurs e . 
staff who give drugs to residents must be 
competent and trained to prepare and ad- 
minister medications. The administrator 
is responsible for determining staff capa- 
bility and assuring the provision of train- 
ing which must at least consist of 
demonstrated ability to apply these Rules 
in this Section and the homes drug ad- 
ministration procedures. 
(h) A record Medication Administration Re- 
cord (MAR) of all drugs given to each 
resident must be kept current, recorded 
before the next administration, indicating 
each dose given and is to include the fol- 
lowing: 

(i) resident's name; 

(ii) name, strength, and quantity of the 
drug; 

(lii) instructions for giving drug; 

(iv) date and time drug is administered; and 

(v) name or initials of person giving the 
drug. If mitials are used, a signature 
equivalent to those initials is to be entered 
on this record. 

Statutory Authority G.S. 131D-2; 143R-153. 



4SI 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



SUBCHAPTER 42D - LICENSING OF HOMES 
FOR THE AGED AND INFIRM 

SECTION .1400 - PERSONNEL 

.1407 STAFFING 

(d) Homes with capacity or census of 13-20 
must comply with the following staffing. When 
the home is staffing to census and the census falls 
below 13 residents, the staffing requirements for 
a home with 12 or fewer residents will apply. 

(2) When the administrator or supervisor-in- 
charge is not on duty within the home, 
there must be at least one staff member 
on duty on the first, second and third 
shifts; Sin co the staff mombor ©ft the third 
shift is e« duty, there is fie- required eaU 
system fo* «se by the residents; 

(e) Homes with capacity or census of 21 or 
more must comply with the following staffing. 
When the home is staffing to census and the 
census falls below 21 residents, the staffing re- 
quirements for a home with a census of 13-20 
will apply. 

(3) The following describes the nature of the 
aide's duties, including allowances and 
limitations: 

(B) Any housekeeping performed by an 
aide between the hours of 7 a.m. and 9 
p.m. is to be limited to occasional, non- 
routine tasks, such as wiping up a water 
spill to prevent an accident, attending to 
an individual resident's soiling of his bed, 
or helping a resident make his bed. 
Routine bed-making is a permissible aide 
dutv; 

Statutory Authority G.S. I31D-2; 143B-153. 

SUBCHAPTER 42H - IN-HOME AIDE 
SERVICES 

SECTION .0200 - SERVICE DESCRIPTION: 
DEFINITIONS 

.0203 DEFINITIONS (REPEALED) 
Statutory Authority G.S. 143B-10; 143B-153. 

SECTION .0400 - SERVICE PROVISION AND 
CLAIMS FOR REIMBURSEMENT 

.0401 GENERAL POLICY (REPEALED) 

Statutory Authority G.S. 143B-153. 

SECTION .0800 - COORDINATION WITH THE 
DIVISION OF AGING 

.0801 IN-HOME AIDE SERVICES FOR 



OLDER ADULTS 

The rules in 10 NCAC 22J and Rule .0914 of 
this Subchapter shall apply for the provision of 
In-Home Aide Services for Older Adults with 
any allocation received by county departments 
of social services from the Division of Social 
Services. 

Statutory Authority G.S. 143B-153. 

SECTION .0900 - PROGRAM REQUIREMENTS 

.0901 IN-HOME AIDE SERVICES FOR 

ADULTS AND CHILDREN AND THEIR 
FAMILIES 

As described in this Subchapter, Rules .0902 
through .0914, shall apply for the provision of 
In- Home Aide Services for Adults and Children 
and Their Families with any allocation received 
by county departments of social services from the 
Division of Social Services. 

Statutory Authority G.S. J 43 B-/ 53. 

.0902 DEFINITIONS 

As used in this Subchapter and in 10 NCAC 
35E .0312 In-Home Aide Services the following 
terms have the meanings specified: 

(1) "Activities of Daily Living (ADL)" include 
eating, dressing, bathing, toileting, bowel 
and bladder control, transfers, ambulation 
and communication such as speaking, the 
written word, signing, gestures, communi- 
cation devices. 

(2) "Adult" means 18 to 59 years of age. 

(3) "Available Person" is someone who lives 
with or near the client, who has the time and 
is willing to perform the needed services. 

(4) "Child" means under 18 years of age. 

(5) "Disabled" means unable to engage in any 
substantial activity necessary for self-care or 
self-support by reason of a medically deter- 
mined physical or mental impairment. 

(6) "Home Management" includes tasks that 
range from basic housekeeping, shopping, 
and essential transportation to intensive 
work with individuals and children and their 
families on budgeting and family manage- 
ment. 

(7) "Instrumental Activities of Daily Living 
(IADL)" includes meal preparation, 
medication intake, cleaning, money man- 
agement, phone use, laundering, reading, 
writing, shopping and going to necessary 
activities. 

(8) "Medically Stable" means physical or 
mental adaptation to previously recognized 
health problems with effective maintenance 



6:9 NORTH CAROLINA REGISTER August I, 1991 



482 



PROPOSED RULES 



by diet, medication, routine physical exer- 
cise, or a combination of these remedies. 
(9) "Medically Unstable" means a recent acute 
illness or complications of a chronic condi- 
tion that are not physically or mentally 
controlled by diet, medication, or physical 
exercise and which require frequent moni- 
toring and testing by skilled professionals. 

(10) "Own Home" means that the service re- 
cipient is living in a residence he maintains 
for himself or is maintained for him. "Own 
home" does not include any group care set- 
ting. For children and their families own 
home also means a family foster home li- 
censed by the North Carolina Department 
of Human Resources to provide care for 
children and supervised by a county depart- 
ment of social services or licensed child- 
placing agency. 

(11) "Personal Care" includes tasks that range 
from assistance with basic personal hygiene 
and grooming, feeding, and ambulation to 
medical monitoring and other health care 
related tasks. 

(12) "Primary Caregiver" is the person who 
voluntarily provides the most care or as- 
sumes the most responsibility for another 
person. 

(13) "Respite Care" is a component of In- 
Home Aide Services which provides needed 
relief to primary caregivers or parents of 
persons who cannot be left alone because 
of mental or physical problems or the need 
for care and supervision. 

(14) "Responsible Person" is someone who is 
dependable and capable of performing the 
needed services for the client. 

(15) "Review" means a regular contact by an 
appropriate professional with the individual 
or family or both to note progress, mainte- 
nance or deterioration, changes in circum- 
stances, and adequacy of the In-Home Aide 
Service Plan in meeting the person's and 
family's needs, and to make any needed ad- 
justments. 

Statutory Authority G.S. I43B-153. 

.0903 DESCRIPTION OF IN-HOME AIDE 
SERVICE LEVELS FOR ADULTS 

As used in this Subchapter, the following de- 
scriptions of In- Home .Vide Service levels shall 
apply for adults: 
(1) Level I - Home Management. In-Home 
Aide Services at this level are intended to 
provide support to individuals and their 
families who require assistance with basic 
home manasement tasks, such as house- 



keeping, cooking, shopping, and bill paying. 
Clients to be served include those who are 
self-directing, medically stable, and who 
have at least one instrumental activity of 
daily living (IADL) impairment. Personal 
care tasks may not be performed at this 
level. 

(2) Level II - Home Management and Personal 
Care. In- Home Aide Services at this level 
are intended to provide support to individ- 
uals and their families who require assistance 
with basic activities of daily living and home 
management tasks. Both the home man- 
agement and assistance with personal care 
tasks can be provided to the client when his 
capacities are diminishing or when the client 
is striving to maintain or improve his own 
functioning. Clients to be served include 
those who are medically stable and partially 
dependent in carrying out one or two activ- 
ities of daily living (ADL) due to physical 
or mental impairments, or both; or who 
have maintenance needs or rehabilitative 
potential, or both. In addition to their per- 
sonal care needs, clients may also require 
assistance with IADL activities to improve 
IADL functioning or to learn independent 
living skills; or they may have two to four 
IADL needs requiring additional support to 
maintain or achieve overall functioning. 

(3) Level II - Home Management Only. In- 
Home Aide Services at this level are in- 
tended to provide support to individuals and 
their families who require assistance with 
home management tasks and do not require 
assistance with personal care. Provision of 
home management tasks focuses more on 
strengthening and developing the individ- 
ual's own skills rather than on doing these 
tasks for him. Clients to be served include 
those who need assistance to remain in their 
own homes; or who need assistance to 
maintain, strengthen, and safeguard their 
functioning because of physical or emotional 
illness or handicap. 

(4) Level III - Home Management. In-Home 
Aide Services at this level are intended to 
provide intensive education and support to 
individuals and their families in carrying out 
home management tasks and improving 
family functioning skills. Provision of the 
service primarily focuses on individualized 
work with a client and his family in teaching 
and demonstrating skills and tasks and rein- 
forcing improved client and family accom- 
plishments. It also involves direct care and 
support in crisis situations. Clients to be 
served generally have moderate to severe 



483 



6:9 NORTH CAROLINA REGISTER August I, 1991 



PROPOSED RULES 



limitations in cognitive or psycho-social 
functioning, but have potential for partial 
or total independence in IADL or home 
management functioning, or both. Some 
clients may have more than four IADL 
impairments. 

(5) Level III - Personal Care. In- Home Aide 
Services at this level are intended to provide 
substantial ADL support to individuals who 
require assistance with health or personal 
care tasks, or both. Provision of these tasks 
involves extensive "hands on" care and po- 
tential assistance with a wide range of health 
related conditions. Clients to be served in- 
clude those who are medically stable with 
significant ADL impairments (three or 
more) resulting from a chronic condition; 
or who are medically stable with significant 
ADL impairments, but have rehabilitative 
potential; or who are medically unstable due 
to recent illness, complications of a chronic 
condition, or a deteriorating condition with 
variable ADL and IADL needs. 

(6) Level IV - Home Management. In-Home 
Aide Services at this level are intended to 
provide a wide range of educational and 
supportive services to individuals and their 
families who are in crisis or who require long 
term assistance with complex home man- 
agement tasks and family functioning skills. 
Provision of the service involves quick and 
creative response to individual and family 
crisis situations identified by the case man- 
ager; it also focuses on appropriate learning 
sessions with small groups of persons from 
different families who have similar needs. 
Clients to be served include those who have 
serious limitations in cognitive or psycho- 
social functioning, or both, but who have 
the potential for major or complete inde- 
pendence in IADL functioning and who 
have little or no ADL impairment. 

Statutory Authority G.S. I43B-153. 

.0904 DESCRIPTION OF IN-HOME AIDE 

SVC LEVELS/CHILDREN AND THEIR 
FAMILIES 

As used in this Subchapter, the following de- 
scriptions of In- Home Aide Service levels shall 
apply for children and their families; 
(1) Level I - Home Management. In-Home 
Aide Services at this level are intended to 
provide support to children and their fami- 
lies who require assistance with basic home 
management tasks, such as housekeeping, 
cooking, shopping, and bill paying. 



(2) Level II - Home Management and Personal 
Care. In-Home Aide Services at this level 
are intended to provide support to children 
and their families who require assistance 
with basic personal care and home manage- 
ment tasks. Both the home management 
and assistance with personal care tasks can 
be provided to families when their capacities 
are diminishing or when the family is striv- 
ing to maintain or improve family function- 
ing. 

(3) Level II - Home Management Only. In- 
Home Aide Services at this level are in- 
tended to provide support to children and 
their families who require assistance with 
home management tasks and do not require 
assistance with personal care. Provision of 
home management tasks focuses more on 
strengthening and developing the family's 
own skills rather than on doing these tasks 
for them. Children and their families to be 
served include those who need assistance to 
remain in their own homes; or who need 
assistance to maintain, strengthen, and safe- 
guard their functioning because of physical 
or emotional illness or handicap or to pre- 
serve and strengthen family functioning; or 
who need assistance to obtain education, 
training, and employment to improve their 
economic self-sufficiency. 

(4) Level III - Home Management. In- Home 
Aide Services at this level are intended to 
provide intensive education and support to 
children and their families in carrying out 
home management tasks and improving 
family functioning skills. Provision of the 
service primarily focuses on individualized 
work with a family in teaching and demon- 
strating skills and tasks and reinforcing im- 
proved family accomplishments. It also 
involves direct assistance and support in cri- 
sis situations. 

(5) Level III - Personal Care. In-Home Aide 
Services at this level are intended to provide 
substantial support to children and their 
families who require assistance with health 
or personal care tasks, or both. Provision 
of these tasks involves extensive "hands on" 
care and potential assistance with a wide 
range of health related conditions. 

(6) Level IV - Home Management. In-Home 
Aide Services at this level are intended to 
provide a wide range of educational and 
supportive services to children and their 
families who are in crisis or who require long 
term assistance with complex home man- 
agement tasks and family functioning skills. 
Provision of the service involves quick and 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



4S4 



PROPOSED RULES 



creative response to family crisis situations 
identified by the case manager; it also fo- 
cuses on appropriate learning sessions with 
small groups of persons from different fami- 
lies who have similar needs. 

Statutory Authority G.S. 143B-153. 

.0905 SERVICE DELIVERY 

In-Home /Vide Services must be provided in 
accordance with the standards established in 
Rules .0903, .0904, .0906. and .0910 of this Sec- 
tion for task levels, competency requirements, 
supervision, and quality assurance requirements 
regardless of whether the aide performing the 
tasks is a paid employee or a volunteer under the 
supervision of an established agency. 

Statutory Authority G.S. J 43 B-/ 53. 

.0906 ASSESSMENT AND REASSESSMENTS 

(a) The purpose of the initial assessment and 
regular reassessments is to determine each indi- 
vidual's or family's level of functioning and de- 
termine or confirm the need for In-Home Aide 
Services. 

(b) The initial assessment and reassessments 
must be conducted by an appropriate profes- 
sional and are prerequisites to providing In- 
Home .Aide Services. 

(c) An initial assessment is not a prerequisite 
when the health, safety, or well-being of an indi- 
vidual or family is at risk. In these instances the 
initial assessment must be completed within five 
working days of the onset of services. 

(d) The initial assessment and reassessment 
must be conducted in the individual's or family's 
home and must address the mental, social, envi- 
ronmental, economic, and physical health status 
of the individual or family, as well as an individ- 
ual's ability to perform activities of daily living 
(ADL's) and instrumental activities of dailv living 
(IADL's). 

(e) The initial assessment and reassessments 
must be signed and dated by the professional re- 
sponsible for assuring the completion of the ini- 
tial assessment and reassessments. 

(f) An initial assessment must be completed 
prior to the professional's development of an In- 
Home Aide Service Plan. 

(g) A full reassessment must be completed at 
least every 12 months or as the individual's or 
family's situation warrants. 

(h) A review of the individual's or family's sit- 
uation must be completed by an appropriate 
professional at least quarterly. If a reassessment 
is conducted, it meets the requirements for a 
quarterly review. 



(i) If the individual or family needs Home 
Management tasks at Level I or II, the initial as- 
sessment and reassessments must be completed 
by a social worker or other appropriate profes- 
sional, such as a registered nurse and registered 
dietitian. If a registered nurse or dietitian is 
conducting the initial assessment or reassessment 
at Level I or II, and the individual's or family's 
social needs appear more extensive than the 
assessor is able to adequately evaluate, then a 
social worker must be consulted for further input. 
If the individual or family needs Home Manage- 
ment tasks at Level III or IV, the initial assess- 
ment and reassessments must be completed by a 
social worker. 

(j) If the individual or family needs Personal 
Care tasks at Level III, a registered nurse must 
complete the physical health status and the ADL 
portions of the initial assessment and reassess- 
ments. For Level II Personal Care tasks, if a 
social worker or registered dietitian is conducting 
the initial assessment or reassessment and the in- 
dividual's or family's personal care needs appear 
more extensive than the assessor is able to ade- 
quately evaluate, then an appropriate health 
professional must be consulted for further input. 

Statutory Authority G.S. I43B-153. 

.0907 IN-HOME AIDE SERVICE PLAN 

(a) Each individual must have an In- Home 
Aide Service Plan which is based on the initial 
assessment and regular reassessments. 

(b) The In- Home Aide Service Plan must in- 
clude: 

(1) Measurable client outcome goals; 

(2) In- Home Aide Service level or levels to 
be provided; 

(3) Specific tasks to be performed; 

(4) Frequency of service provision; 

(5) Anticipated duration of the service; con- 
ditions for continuing or discontinuing 
service; 

(6) Signature of agency's professional staff 
developing the service plan; 

(7) A physician's signature, if required by a 
specific funding source. 

(c) All changes in tasks must be documented 
and dated on the In- Home Aide Service Plan by 
the responsible professional. 

(d) Children and their families must have a 
plan that is consistent with the family's services 
plan to prevent family disruption and unneces- 
sary out-of-home placement of children. 

Statutory Authority G.S. I43B-153. 
.0908 COMPETENCY REQUIREMENTS 



485 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



(a) Aides who provide In- Home Aide Services 
must meet the competency requirements for the 
level of service they are regularly required to 
perform. Meeting competency requirements in- 
cludes a correct demonstration of the tasks to an 
appropriate professional. In addition, an aide 
performing any tasks in Level III Personal Care 
must be listed on the Nurse Aide Registry with 
the NC Board of Nursing. 

(b) The agency employing the in-home aides 
must maintain documentation of each aide's 
competence; this includes verification of know- 
ledge of all content areas and ability to correctly 
perform all tasks at the level of service regularly 
provided. If the aide is required to perform se- 
lective tasks at a higher level, documentation of 
competence in the specific tasks is also required. 
If the aide is required to perform tasks at Level 
III - Personal Care, the individual must be listed 
on the Nurse Aide Registry with the NC Board 
of Nursing. An aide must be fully competent at 
the current level of service provision before being 
assigned tasks at a higher level. 

(c) By December 1, 1 99 1 , regardless of the level 
of service to which the aide is assigned, demon- 
strated competence for the specific tasks assigned 
to that aide must be documented before allowing 
the aide to perform the tasks independently. 

(d) Competency requirements for all levels ex- 
cept Level III Personal Care are applicable on 
July 1, 1993 for all persons hired after that date. 
All aides performing any Level III Personal Care 
tasks must be listed on the Nurse Aide Registry 
with the NC Board of Nursing by January 1, 
1991 or within four months of being employed 
to perform these tasks. Each service provider 
agency is responsible for ensuring that compe- 
tency testing is appropriately administered. 

(e) Each service provider agency is responsible 
for insuring that its aides have sufficient training 
to pass a competency test for the level of service 
the aides will regularly provide. 

(0 In the event that a spouse, parent, child or 
sibling is paid to provide care, the service pro- 
vider agency can make a determination that the 
family member is capable of providing the care 
needed without requiring any formal training. 
The family member must demonstrate compe- 
tence to perform the tasks needed by the client 
to an appropriate professional. When the family 
member provides Personal Care at Level III, he 
must be listed on the Nurse Aide Registry with 
the NC Board of Nursing within four months of 
being employed to perform these tasks. 

(g) Demonstration of competence in the pres- 
ence of an appropriate professional can take 
place in a variety of settings including, but not 



limited to, the classroom, laboratory, local 
agency, or the home of the client and family. 

Statutory Authority G.S. 143B-153. 

.0909 TIME FRAMES FOR COMPLETING 
COMPETENCY REQUIREMENTS 

The following time frames for completing com- 
petency requirements for each level of In- Home 
Aide Services shall apply: 

(1) Level I. Competency requirements consist 
of demonstration of the knowledge and skills 
required to carry out the functions described 
in Rules .0903(1) and .0904(1) of this Sec- 
tion. Competency requirements for Level I 
must be met within one year of employment 
as a Level I aide. 

(2) Level II. Competency requirements consist 
of demonstration of the knowledge and skills 
required to carry out the functions described 
in Rules .0903(2) or (3) and .0904(2) or (3) 
of this Section. Competency requirements 
for Level II must be met within one year of 
employment as a Level II aide. 

(3) Level III. This level is tracked for either 
Home Management or Personal Care and 
shall consist of the following competency 
requirements: 

(a) Home Management Track. Competency 
requirements consist of demonstration of 
the knowledge and skills required to carry 
out the functions described in Rules 
.0903(4) and .0904(4) of this Section. 
Competency requirements for Level III 
Home Management must be met within 
one year of employment at this level. 

(b) Personal Care Track. Competency re- 
quirements consist of demonstration of 
the knowledge and skills required to carry 
out the functions described in Rules 
.0903(5) and .0904(5) of this Section and 
registration as a Nurse Aide I with the NC 
Board of Nursing. Aides performing 
Level III Personal Care tasks must com- 
plete training or competency testing, or 
both within four months of employment 
at this level. 

(4) Level IV. Competency requirements con- 
sist of demonstration of the knowledge and 
skills required to carry out the functions de- 
scribed in Rules .0903(6) and .0904(6) of this 
Section. Competency requirements for 
Level IV must be met within one year of 
employment as a Level IV aide. 

Statutory Authority G.S. I43B-I53. 

.0910 AIDE SUPERVISION 



6:9 NORTH CAROLINA REGISTER August I, 1991 



486 



PROPOSED RULES 



(a) It is the responsibility of the agency pro- 
viding the In- Home Aide Service to assure that 
supervision is given to all aides. 

(b) Regardless of the level of tasks performed, 
supervisory home visits must be made at least 
twice during the first month of the aide's em- 
ployment. 

(c) Following the first month of the aide's em- 
ployment, supervisory home visits must be made 
as follows: 

(1) Level I - at least quarterly; 

(2) Level II - at least quarterly; 

(3) Level III - at least every 60 days; 

(4) Level IV - at least every 60 days. 

(d) The frequency of aide supervision must be 
increased as needed to respond to the capabilities 
of the aide and the needs of the client. 

(e) Each service provider agency must assure 
at least some portion of the supervisory visits 
occur when the aide is providing assistance or 
care to clients. 

Statutory Authority G.S. 143B-153. 

.091 1 SELECTION OF AIDES 

(a) The following persons shall be allowed to 
serve as in-home aides for adults: 

(1) Non-relatives who are 18 years of age or 
older who are qualified to perform the 
tasks needed by the client. 

(2) Relatives of the client, who for this pur- 
pose are parent, spouse, child or sibling, 
who are 1 8 years of age or older and who 
give up employment or the opportunity 
for employment in order to perform the 
service and who are qualified to perform 
the tasks needed by the client. 

Note: Persons who cannot serve as in-home 
aides are those under 18 years of age; those who 
are not qualified to perform the tasks needed by 
the client; and those who are relatives of the cli- 
ent, who for this purpose are parent, spouse, 
child, or sibling, who are unemployed or who do 
not have to give up employment in order to 
provide the service. 

(b) Non-relatives who are 18 years of age or 
older who are qualified to perform the tasks 
needed by the client shall be allowed to serve as 
in-home aides for children and their families. 

Statutory Authority G.S. 143B-153. 

.0912 CLIENT RECORDS 

Records must be kept for each In- Home /Vide 
Services client and must include: 

(1) Documentation of request or authorization 
for services; 

(2) A copy of the completed initial assessment; 



(3) Copies of all completed reassessments; 

(4) Copies of the initial and any revised In- 
Home Aide Service Plans; 

(5) Documentation of significant client infor- 
mation; 

(6) Documentation of client eligibility; 

(7) Documentation of quarterly reviews; 

(8) Documentation notifying client of service 
reduction, denial or termination. 

Statutory Authority G.S. I43B-153. 

.0913 QUALITY ASSURANCE REQUIREMENTS 

(a) All agencies providing In- Home Aide Ser- 
vices must be either licensed by the Department 
of Human Resources as a home care agency, or 
be certified or accredited through one of the fol- 
lowing accreditation organizations, or other enti- 
ties recognized by the Department of Human 
Resources or the North Carolina Medical Care 
Commission: 

(1) North Carolina Accreditation Commis- 
sion for In-Home Aide Services; 

(2) National HomeCaring Council; 

(3) Joint Commission on Accreditation of 
HealthCare Organizations (Home Care 
accreditation); 

(4) National League for Nursing. 

(b) licensure by the Department of Human 
Resources is required by July 1, 1992 for agencies 
providing In-Home Aide Services at Level II - 
Home Management and Personal Care, Level III 
- Personal Care, or both. If the agency is certi- 
fied or accredited as described in Paragraph (a) 
of this Rule, then the agency shall be given 
deemed status for licensure. 

(c) Certification or accreditation by one of the 
accreditation organizations described in Para- 
graph (a) of this Rule is required by July 1, 1996 
for agencies providing In-Home /Vide Services at 
Level I - Home Management, Level II - Home 
Management Only, Level III - Home Manage- 
ment, Level IV - Home Management, or any 
combination thereof. If the agency is licensed as 
a home care agency by the Department of Hu- 
man Resources then certification or accreditation 
shall not be required. 

Statutory Authority G.S. I43B-153. 

.0914 METHODS OF SERVICE PROVISION 

(a) One or more of the methods of service 
provision enumerated in this Paragraph shall be 
used to provide In-Home /Vide Services. 

(1) Direct Provision. County departments of 
social services may employ in-home aide 
services providers as members of their 
staff to perform tasks in accordance with 



487 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



10 NCAC 35E .0312 and the rules of this 
Subchapter. In-home aide services pro- 
viders are subject to the provisions of the 
State Personnel Act and to applicable 
personnel policies of the county in which 
they are employed. Responsibility for the 
selection, training, assignment to the cli- 
ents, supervision and discharge of in- 
home aide services providers rests with the 
county department of social services. 

(2) Cash Payment. In-Home Aide Services 
may be provided through a cash payment 
made to an eligible client as reimburse- 
ment for services he has received and for 
which he has paid. County departments 
of social services may make cash advances 
to eligible clients but may not claim re- 
imbursement from any federal or state 
funds until a receipt is provided by the 
client documenting that the service has 
been delivered and paid for. The cash 
payment method of provision is utilized 
only in accordance with the following ar- 
rangement: 

(A) The client, or a person designated by 
the client, is capable and willing to be re- 
sponsible for hiring, firing and supervising 
the In- Home Aide Services provider and 
for carrying out other applicable 
employer-related responsibilities. 

(B) The tasks performed by the provider 
do not require supervision by a registered 
nurse or another professional with skills 
appropriate to the tasks being performed 
for the client. 

(C) The client, or a person designated by 
the client, provides certification that the 
provider meets the competency require- 
ments for the level of tasks provided. 

(3) Purchase of Sendee Contract. In-Home 
Aide Services may be purchased from an- 
other agency under a purchase of service 
contract in accordance with rules set forth 
in 10 NCAC 36. 

(b) Regardless of the method of service pro- 
vision, the amount of service provided to each 
client will be based on individual need. 

Statutory Authority G.S. 143B-I53. 

SUBCHAPTER 42P - CHORE SERVICES 

SECTION .0100 - SERVICE DESCRIPTION 



SECTION .0200 - DEFINITIONS 
.0201 DEFINITIONS (REPEALED) 

Statutory Authority G.S. 143B-153. 

SECTION .0400 - SERVICE PROVISION: 
MAXIMUM ALLOWANCE OF PAYMENT 

.0401 GENERAL POLICY (REPEALED) 
.0402 DIRECT PROVISION (REPEALED) 
.0403 CASH PAYMENT METHOD (REPEALED) 
.0404 PURCHASE OF SERVICE CONTRACT 
(REPEALED) 

Statutory Authority G.S. 143B-153. 

SUBCHAPTER 42Q - STATE IN-HOME 
SERVICES FUND 

.001 1 NATURE AND PURPOSE OF STATE 
IN-HOME SERVICES FUND 

(a) The State In- Home Services Fund is used 
for five four services provided through county 
departments of social services for the purpose of 
enabling people to remain in or return to their 
own homes. These services are: choro oorvicoo, 
day care services for adults, homomalcor in-home 
aide services, housing and home improvement 
services, and preparation and delivery of meals. 

(b) The fund is used for increasing state finan- 
cial participation in the costs of these services. 

Statutory Authority G.S. 143B-153. 

.0012 DEFINITIONS OF SERVICES 

Definitions of the five four services are the same 
as the definitions of these services under the So- 
cial Services Block Grant (Title XX), codified in 
10 NCAC 35E .0300. 

Statutory Authority G.S. I43B-153. 

.0013 ELIGIBILITY 

(a) Eligibility for the five four services is based 
on Social Services Block Grant (Title XX) eligi- 
bility criteria codified in 10 NCAC 35E. 

(b) Application for the services is made to the 
department of social services in any county pro- 
viding the services. 

(c) Eligibility for the services is determined by 
the county department of social services. 

Statutory Authority G.S. 143B-I53. 



.0102 TRAINING REQUIREMENTS 
(REPEALED) 

Statutory Authority G.S. 1 43 B-/ 53. 



.0014 FEES 

Fees for the following services provided under 
the State In- Home Services Fund shall be deter- 
mined in accordance with policies governing fees 
for services, codified in 10 NCAC 35F: chore 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



4S8 



PROPOSED RULES 



cervices, day care services for adults, hom e mak e r 
in-home aide services, preparation and delivery' 
of meals and housing and home improvement 
resource items only. 

Statutory Authority G.S. 1 43 B- 1 53. 

.0015 PROGRAM POLICIES AND STANDARDS 

The &¥<* four services are provided in accord- 
ance with the policies, procedures and standards 
set out for each of them in 10 NCAC 42E or 42Z 
as applicable, 42H, 42K, 40£L 42S, and 42T. 

Statutory Authority G.S. 143B-I53. 

SUBCHAPTER 42V - PROTECTIVE SERVICES 
FOR ADULTS 

SECTION .0200 - ACCEPTANCE AND 

EVALUATION OF PROTECTIVE SERVICES 

REPORTS 

.0201 ACCEPTANCE OF REPORTS 

(a) The county department of social services 
must accept all reports alleging a- an abused, 
neglected, or exploited disabled adult is in need 
of protective services. This includes anonymous 
reports. If the county department determines 
that the address of the disabled adult given in the 
report is in another county, the department shall 
refer the person making the report to the appro- 
priate county department. The county depart- 
ment receiving the original report shall follow up 
to make sure the appropriate county has received 
the report. 

(b) The department of social services shall 
make arrangements for 24 hour coverage to re- 
ceive calls and take appropriate action. 

Statutory Authority G.S. 108A-103;-143B-153. 

.0208 CONDUCTING A THOROUGH 
EVALUATION 

A thorough evaluation of the protective services 
report shall include identifying indicators of 
abuse, neglect, or exploitation and the disabled 
adult's strengths and limitations by assessing the 
following functional areas: 
(1) physical health; 
mental health; 
social support; 

activities of daily living and instrumental 
activities of daily living; 
financial support; and 
physical environment. 



(2) 
(3) 
(4) 

(5) 
(6) 



Statutory Authority G.S. 10SA-103; 143B-I53. 



.0209 SUBSTANTIATION OF THE REPORT 



(a) Following completion of the evaluation a 
determination shall be made as to whether the 
report is substantiated. 

(b) A report is substantiated when: 

(1) the adult is determined to be disabled as 
denned in G.S. 108A-10T(d); 

(2) the adult is determined to be abused, neg- 
lected or exploited as defined in G.S. 
108A-101(a)(j)or(m);and 

(3) the adult is determined to be in need of 
protective services as defined in G.S. 
108A-101(e). 

(c) A report is unsubstantiated if any one of the 
three conditions in Subparagraphs (b)(1), (2), 
and (3) of this Rule are not met. 

Statutory Authority G.S. 108A-103; 143B-153. 

SECTION .0500 - RESIDENTIAL CARE 
FACILITIES 

.0501 GENERAL REQUIREMENT 

(a) In accordance with provisions of G.S. 
108A-103 and the rules in Section .0200 of this 
Subchapter, the department of social services in 
the county in which the facility is located shall 
evaluate reports of abused, neglected, or ex- 
ploited disabled adults in need of protective ser- 
vices who are specifically named patients or 
residents of drilled nursing, combination, and 
residential t«4 intermediate care facilities, homes 
fof th<* age4 a«4 disabled, family Gafe homos ae4 
group homes fef developmental^' disabled 
adults. This includes reports regarding patients 
or residents who are placed from other counties. 

(b) Complaints received by the county depart- 
ment of social services regarding general condi- 
tions or violations of standards in slolled nursing 
and intermediate eate combination facilities and 
residential care facilities licensed under G.S. 122C 
shall be referred to the Division of Facility Ser- 
vices. 

(c) Complaints received by the county depart- 
ment of social sendees regarding general condi- 
tions or violations of standards in homos fep th# 
aged afi4 disabled, family eafe homes »n4 group 
homos fof dovolopmontally disabled adults resi- 
dential care facilities licensed under G.S. 13 ID- 2 
shall be followed up by the adult home specialist 
in accordance with the specialist's ongoing re- 
sponsibility for supervision of these facilities. 

Statutory Authority G.S. I43B-153. 

.0502 NOTICE TO ADMINISTRATOR 

(a) The county director will not inform the 
administrator prior to the first visit to the facility 
that a protective services report has been re- 



489 



6: 9 NOR TH CAROLINA REGIS TER 



August I, 



1991 



PROPOSED RULES 



ceived, except in specific instances where the 
county director thinks the assistance of the ad- 
ministrator will be needed in conducting the 
evaluation. 

(b) The county director shall provide the ad- 
ministrator of the a nursing, combination, or 
residential care facility with a written summary 
of the nature of the protective services report, 
whether or not evidence of abuse, neglect or ex- 
ploitation was found, and whether or not a need 
for protective services was substantiated. The 
written summary to the administrator shall be 
limited to the following: 

(1) acknowledgement that a protective ser- 
vices report was received on a specified 
patient or resident of the facility; 

(2) the specific complaint alleged allegations 
in the report (the complainant shall not 
be named); 

(3) whether or not the complaint was sub 
stantiatud; evidence of abuse, neglect or 
exploitation was found; 

(4) whether or not the need for protective 
services was substantiated; 

(5) (4} «£ the complaint was substantiated, a 

general statement as to how the conclu- 
sion was reached (the names of persons 
who were contacted during the evaluation 
to obtain information shall not be given). 

Statutory Authority G.S. 143B-153. 

.0503 REPORT TO REGULATORY AGENCIES 

(a) A copy of the written report required by 
Rule .0901 of this Subchapter shall be sent to the 
Division of Facility Services, within 30 days of 
completion of the evaluation. If the identity of 
the person making the protective services report 
is and the names of individuals who provide in- 
formation about the disabled adult are needed by 
the Division of Facility Services in order to carry 
out an investigation, that information shall be 
shared verbally with the Division on request. 

(b) When evidence of financial exploitation is 
found in Medicaid - funded facilities, the county 
department of social services shall send a copy 
of the written report to the Division of Medical 
Assistance, as well as to the Division of Facility- 
Services. 

(c) When, in the course of an evaluation, evi- 
dence of abuse, neglect or exploitation is found, 
the county director shall notify the Division of 
Facility Services immediately by telephone. In 
addition the county director shall inform the Di- 
vision of Facility Services as to whether or not 
the need for protective services will be substanti- 
ated. 



(d) When, in the course of an evaluation, it 
appears that a report of a need for protective 
services will not be substantiated, but the county 
director finds violations of licensure standards, 
such violations shall be reported immediately to 
the appropriate supervisory agency. Reports of 
violations of standards in nursing homos and 
combination homes facilities and residential care 
facilities licensed under G.S. 122C shall be made 
to the Division of Facility Services. Reports of 
violations of standards in domiciliary homos res- 
idential care facilities licensed under G.S. 131D-2 
shall be made to the adult home specialist in the 
county department of social sendees. 

Statutory Authority G.S. I43B-153. 

.0504 INTER-COUNTY COORDINATION 

The department in the county in which a nurs- 
ing, combination, or residential care facility is 
located has primary responsibility for providing 
protective services to adults in that facility. That 
department shall notify the department in the 
adult's county of residence when a protective 
services report on the adult is substantiated and 
shall inform the department in the county of 
residence of the plan for protective services. The 
department in the county of residence shall co- 
operate and assist to the extent possible in the 
provision of protective services. 

Statutory Authority G.S. I43B-153. 

SECTION .0800 - CONFIDENTIALITY 

.0802 IDENTITY OF COMPLAINANT 

The identity of the complainant and of individ- 
uals who provide information about the disabled 
adult shall be kept confidential unless the court 
requires that such persons' identity identities be 
revealed with the exception that the 
complainant 's name and the names of individuals 
who provide information about the disabled 
adult may be given verbally to the Division of 
Facility Services when requested by that agency 
in order to carry out its investigation. 

Statutory Authority G.S. MSB- 153. 

.0805 RELEASE OF SPECIFIC FINDINGS TO 
OTHER GOVERNMENTAL AGENCIES 

Federal, state, and law enforcement agencies 
may be sent copies of the written report as spec- 
ified in Rule .0901 of this Subchapter when the 
results of the adult protective services evaluation 
indicate violations of statutes, rules, or regu- 
lations enforced by these agencies. 

Statutory Authority G.S. 143B-I53. 



6:9 NORTH CAROLINA REGISTER August I, 1991 



490 



PROPOSED RULES 



SECTION .0900 - DOCUMENTATION AND 
REPORTS 

.0901 WRITTEN REPORT OF THE 
EVALUATION 

(a) Written reports shall be completed when: 

( 1 ) the adult protective sen ices evaluation was 
conducted on a patient or resident of a 
facility as defined in OS. 131F-1()1~ 
131D-2(a)(3). or 122C: or 

(2) evidence of abuse, neglect or exploitation 
is found. 



(b) After completing the evaluation, a the writ- 
ten report shall be made, compiled, including the 
following information: 

the name, address, age and condition of 
the adult: 

the complaint allegations (the written re- 
port shall not include the identity of the 
person making the complaint); 

the evaluation including the agency's 
findings and supporting documents (e.g. 
psychological, medical report); 
conclusions; 
recommendations for action. 



(1) 

(2| 

(3) 



(4) 
(5) 



Statutory Authority G.S. I43B-I53. 

.0908 CASE RECORD 

A separate record, or a separate section of an 
existing record, shall be established to contain 
information on protective services provided to an 
adult, including the following: 

( 1 ) the report of a need for protective services; 

(2) the written report by the department; 

(3) any court documents about the case; and 

(4) other information relative to the evaluation 
of the report (complaint ) and the provision 
of protective services. 

Statutory Authority G.S. 143B-153. 

CHAPTER 43 - SERVICES PROGRAM PLAN 



SUBCHAPTER 43L 



SOCIAL SERVICES BLOCK 
GRANT 



SECTION .0200 - SERVICES TO BE PROVIDED 

.0201 SOCIAL SERVICES BLOCK GRANT 
FUNDED SERVICES 

Services which may be reimbursed with Social 
Services Block Grant Funds are: 

(20) in home r . i ' rviciv . : chore? sefwees- in-home 
aide services (levels I through IV); 

(44-)- in home ?. i»rvict?r . : homomakiT ^rvicoc . ; 

(21 ) (33) nutrition services; 

(22) (35) outpatient services for individuals of 
all disability groups; 



(23) (34) partial hospitalization services for 
adults and elderly individuals who are 
acutely mentally ill or are substance abusers; 

(24) (3§) personal and family counseling; 

(25) (-34) preparation and delivery of meals; 

(26) (-3?) problem pregnancy services; 

(27) (38) protective services for adults; 

(28) (39) protective services for children; 

(29) (40) residential treatment for the emo- 
tionally disturbed; 

(30) (444 residential treatment programs for 
children and adolescents who are emo- 
tionally disturbed; 

(31) (43) residential treatment/rehabilitation 
programs for individuals who are alcohol or 
other drug abusers; 

(32) (33) respite care services; 

(33) (444 social setting and non-hospital medical 
detoxification services for individuals who 
are alcoholics; 

(34) (444 transitional residence programs for 
adult and elderlv individuals who are men- 
tally ill; 

(35) (44) transportation services; 

(36) (44) youth services. 



Statutory Authority 
143B-153. 



G.S. 10SA-71; 143B-10; 



SECTION .0400 - ADMINISTRATIVE 
REQUIREMENTS 

.0401 FISCAL MANAGEMENT 

The Division of Social Services shall establish 
the fiscal requirements for the Social Services 
Block Grant as follows: 

( 1) Allocation of Funds. Any allocation of 
Social Services Block Grant funds made 
directly to Department of Human Resources 
divisions or public or private agencies by the 
Department of Human Resources is based 
on the- following criteria: 

(a) identified need for the service program; 

(b) established priorities of the department; 

(c) allowability of the program under federal 
and state rules and regulations; 

(d) assessed or potential performance of the 
service program; 

(e) resource utilization; 

(f) availability of funds necessary to secure 
federal financial participation. 

(2) The amount of Social Services Block Grant 
(SSBG) funds allocated by the Department 
of Human Resources through the Division 
of Social Services to each county department 
of social services will be based on the aver- 
age of the following two factors applied to 



491 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



the total amount of SSBG funds available 
for county departments of social services: 

(a) the percentage of the statewide population 
residing within each county; and 

(b) the percentage of the statewide undupli- 
cated count of SSI recipients, food stamp 
recipients, AFDC recipients and medicaid 
eligible individuals residing in each 
county. 

(3) Matching Rates for Financial Participation. 
The following matching rates apply to fi- 
nancial participation in services funded by 
the Social Services Block Grant: 

(a) 75 percent financial participation - finan- 
cial participation for provision of any ser- 
vice listed in Rule .0201 of this 
Subchapter is available at a rate of 75 
percent of the cost of providing the ser- 
vice; 

(b) 87-1/2 percent financial participation - fi- 
nancial participation for provision of in- 
home services- -day care services for 
adults, preparation and delivery of meals, 
housing and home improvement services, 
in home segviees (chore services) af*4 m- 
homo services (homomakor services) and 
in-home aide services (levels I through IV) 
-- is available at a rate of 87-1/2 percent 
of the cost of providing the service; 

(c) 90 percent financial participation - finan- 
cial participation for provision of family 
planning services and the family planning 
component of health support services is 
available at a rate of 90 percent of the cost 
of providing the service; 

(d) 100 percent financial participation - fi- 
nancial participation for provision of child 
day care and developmental day services 
for children is available at a rate of 100 
percent of the cost of services for those 
child day care services reimbursed from 
an agency's designated 100 percent day- 
care allocation. 

Statutory Authority G.S. 143B-153. 

■k-k-k-k-k-k-k'k-k'k-k-k-k-k-k-k-k-k 



1 he public hearing will be conducted at 1:30 
p.m. on September 3, 1991 at the North Carolina 
Division of Medical Assistance, 1985 Umstead 
Drive, Room 297, Raleigh, N. C. 27603. 



No 



oticc is hereby given in accordance with G.S. 
1 SOB- 1 2 that the Department of Human 
Resources, Division of Medical Assistance intends 
to amend nde(s) cited as 10 NCAC 26B .01/9 
and 10 SCAC 26D .0017. 

1 he proposed effective date of this action is De- 
cember 1 , 1991 . 



Cc 



omment Procedures: Written comments con- 
cerning this amendment must be submitted by 
September 3, 1991, to: Dh'ision of Medical As- 
sistance, 19S5 Umstead Drive, Raleigh, N. C. 
27603, ATTN.: Bill Hottel, APA Coordinator. 
Oral comments may be presented at the hearing. 
In addition, a fiscal impact statement is available 
upon written request from the same address. 

CHAPTER 26 - MEDICAL ASSISTANCE 

SUBCHAPTER 26B - MEDICAL ASSISTANCE 
PROVIDED 

SECTION .0100 -GENERAL 

.0119 PERSONAL CARE SERVICES 

(a) The Division of Medical Assistance will 
cover personal care services in accordance with 
federal law. The provision of personal care ser- 
vices must be physician authorized and must 
meet the following criteria: 

( 1 ) The recipient of the service must have a 
medical diagnosis that warrants a physi- 
cian's care and that recipient must be un- 
der the direct and ongoing care of the 
physician prescribing PCS. 

(2) The recipient's medical condition must be 
stable at maintenance level. 

(3) There must be a medical necessity for the 
provision of personal care services. 

(b) Agencies which may be enrolled as provid- 
ers ot^ service include: county health depart- 
ments; county departments of social services; 
certified home health agencies; hospice agencies 
enrolled in Medicaid; the State Division of Ser- 
vices for the Blind; agencies accredited through 
the Community I fcalth Accreditation Program 
of the National league for Nursing as meeting 
their Core Standards and specific quality stand- 
ards for home care organizations providing 
paraprofessional services: agencies accredited bv 
the Joint Commission on Accreditation of 
I Icalthcare Organizations for meeting their 
Standards for the Accreditation of I lomc Care 
and specific quality standards for providers of 
personal care and support services; agencies ac- 
credited by the North Carolina Accreditation 
Commission for In- Home Aide Services; and 
agencies approved bv the National Homecaring 
Council as meeting Basic National Standards for 
Homemakcr-IIome Health Aide Services. 



6:9 NORTH CAROLINA REGISTER August I, 1991 



492 



PROPOSED RULES 



Authority G.S. W8A-25(b); S.L. 19S5, c. 479, s. 
86; 42 C.F.R. 440.170(f). 

SUBCHAPTER 26D - LIMITATIONS ON 
AMOUNT: DURATION: AND SCOPE 

.0017 PERSONAL CARE SERVICES 

(a) Reimbursement is not available for personal 
care services exceeding 80 hours per recipient per 
calendar month. 

(b) Reimbursement for personal care services 
is not available to a given recipient on the same 
day another substantially equivalent service is 
provided. Substantially equivalent services in- ' 
elude home health aide services, chore servic e s 
*h4 homemakcr service's, and personal care ser- 
vices provided bv an In-Home Aide II or In- 
Home Aide 111. 

(c) A member of the recipient's immediate 
family may not be employed by a provider 
agency to provide personal care services reim- 
bursed hv Medicaid. Immediate family members 
are defined as spouses, children, parents, 
grandparents, grandchildren, siblings, including 
corresponding step- and in-law relationships. 

Authority G.S. 108A-25(b); I08A-54; 108A-55; 
S.L. 1985. c. 4~9, s. 86; 42 C.F.R. 440.170(f). 

-k-k-k-k-k-k'k-k-k-k-k-k'k-k'k-k-k-k 



No 



oticc is hereby given in accordance with G.S. 
1 SOB- 12 that the Department of Human 
Resources Division of Medical Assistance intends 
to adopt rule(s) cited as 10 NCAC 26 H .0108. 

1 he proposed effective date of this action is De- 
cember I. 1991." 

1 he public hearing will be conducted at 1:30 
p.m. on September 16, 1991 at the North Carolina 
Division of Medical Assistance, 1985 Umstead 
Drive, Room 297, Raleigh, N. C. 2^603. 



Co 



omment Procedures: Written comments con- 
cerning this adoption must be submitted by Sep- 
tember 16, 1991, to: Division of Medical 
Assistance, 1985 Umstead Drive, Raleigh, North 
Carolina 27603, ATTN.: Bill Hottel, APA Co- 
ordinator. Oral comments may be presented at 
the hearing. In addition, a fiscal impact statement 
which estimates increased expenditures of 
S6. 395, 138. 00 is available upon written request 
from the same address. This adoption is proposed 
in order to increase reimbursements to State- 
operated facilities for the atypical seirices pro- 
vided to patients with special needs. 



SUBCHAPTER 26H - REIMBURSEMENT PLANS 

SECTION .0100 - REIMBURSEMENT FOR 
NURSING FACILITY SERVICES 

.0108 REIMBURSEMENT METHODS FOR 
STATE-OPERATED FACILITIES 

(a) A certified State-operated nursing facility is 
reimbursed for the reasonable costs that are nec- 
essary - to efficiently meet the needs of its patients 
and to comply with federal and state laws and 
regulations. The costs are determined in ac- 
cordance with Rules .0103 and .0104 of this Sec- 
tion, except that annual cost reports are required 
for the fiscal year beginning on July 1 and ending 
on the following June 30 and must be submitted 
to the Division of Medical Assistance on or be- 
fore the September 30 that immediately follows 
the June 30 year end. Payments will be sus- 
pended if reports are not filed. The Division of 
Medical Assistance may extend the deadline for 
filing the report if in its view good cause exists for 
the delay. The Medicare principles for the re- 
imbursement of skilled nursing facilities will be 
utilized for the cost principles that are not spe- 
cifically addressed in the State Plan. 

(b) A per diem rate based on the provider's 
estimated annual cost divided by patient days will 
be used to make interim payments. A desk audit 
and a tentative settlement will be performed on 
each annual cost report to determine the amount 
of Medicaid reasonable cost and the amount of 
interim payments received by the provider. 

(c) Any payments in excess of costs will be re- 
funded to the Division. Any costs in excess of 
payments will be paid to the provider. An an- 
nual field audit will be performed by a qualified 
independent auditor to determine the final settle- 
ment amounts. 

Authority G.S. 108A-25(b); 108A-54; 108A-55; 
S.L. 1985, c. 479, s. 86; 42 C.F.R. 447, Subpart 
C. 

****************** 



iV otice is hereby given in accordance with G.S. 
I SOB- 12 that the Department of Human 
Resources, Division of Medical Assistance intends 
to adopt rule(s) cited as 10 NCAC SOB .0208. 



1 he proposed effective date of this action is 
January 1. 1992. 

1 he public hearing will be conducted at 1:30 
p.m. on October 3, 1991 at the North Carolina 



493 



6:9 .NORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



Division of Medical Assistance, 1985 Umstead 
Drive, Room 297, Raleigh, N.C. 27603. 

Comment Procedures: Written comments con- 
cerning this adoption must be submitted by Octo- 
ber 3, 1991, to: Division of Medical Assistance, 
19S5 Umstead Drive, Raleigh, N.C. 27603, 
ATTN.: Bill Hottel, A PA Coordinator. Oral 
comments may be presented at the hearing. In 
addition, a fiscal impact statement is available 
upon written request from the same address. 

tLditor's Note: This Rule was filed on June 28, 
1991 as a temporary rule to be effective July I, 
1991 , for a period of ISO days to expire on De- 
cember 31. 1991. 

CHAPTER SO - MEDICAL ASSISTANCE 

SUBCHAPTER SOB - ELIGIBILITY 
DETERMINATION 

SECTION .0200 - APPLICATION PROCESS 

.0208 MANDATORY USE OF OUTREACH 
LOCATIONS 

The county department of social services shall 
provide for the acceptance of applications and 
initial interviews for M-PW and M-IC coverage 
groups at certain outreach locations as follows: 

(1) disproportionate share acute care hospitals 
which serve the coverage groups listed: and 

(2) Medicaid enrolled federally qualified health 
centers. 



Authority G.S. 108A-43; 108A-54; P.L. 101-508. 

TITLE 15A - DEPARTMENT OF 

ENVIRONMENT, HEALTH, AND 

NATURAL RESOURCES 



IVotice is hereby given in accordance with G.S. 
1 SOB- 12 that the EHNR - Land Resources intends 
to amend rule(s) cited as ISA NCAC SB .0012. 

1 he proposed effective date of this action is De- 
cember 1 , 1991 . 

1 he public hearing will be conducted at 10:00 
a.m. on September 5, 1991 at the Archdale 
Building, Ground Tloor Hearing Room, 5/2 North 
Salisbury Street, Raleigh, N.C. 276/1. 

(^- omment Procedures: A 11 persons interested in 
this matter are invited to attend. Comments, 
statements, data and other information may be 
submitted in writing prior to, during, or within ten 
(10) days after the hearing or may be presented 
at the hearing. Oral statements may be limited 
at the discretion of the hearing officer. Submittal 
of written copies of oral statements is encouraged. 
For more information, contact Tracy E. Davis, 
Division of Land Resources, P.O. Box 27687, 
Raleigh, N.C. 27611 (919) 733-4574. 



CHAPTER 5 - MINING: MINERAL RESOURCES 
SUBCHAPTER 5B - PERMITTING AND REPORTING 

.0012 PERMIT APPLICATION PROCESSING FEES 

(a) A non-refundable permit application processing fee, in the amounts stated in Paragraphs (b), »h4 
(c) and (d) of this Rule, shall be paid when an application for a new mining permit, a permit modifi- 
cation or a renewal permit, is filed in accordance with G.S. 74-51 or G.S. 74-52 and 15A NCAC 5B 
.0003, .0004, and .0005. , 

(b) A non-refundable fifty dollar ($50.00) permit -application processing fee is required for minor 
permit modifications. Minor permit modifications include administrative changes such as ownership 
transfers, name changes, and bond substitutions. A minor permit modification also includes lands 
added to a permitted area, outside of the minimum permit buffer zone requirements, where no plans 
for mining related disturbance of the added lands have been approved. All other changes to the permit 
are major modifications. No fee is required for administrative changes initiated by the Director to 
correct processing errors, to change permit conditions or to implement new standards. 

(c) A non-refundable fifty dollar ($50.00) permit application processing fee is required for permit re- 
newal of^ an inactive, undisturbed site. Once renewed, prior to initiating any mining related disturbance, 
an application for a major modification and a processing fee shall be submitted to and approved by the 
Department. Lor purposes of tins Paragraph, and notwithstanding Paragraph (d) of this Rule, the 
acreage for a major modification shall be the total acreage at the site. All other modifications to the 
renewed permit shall be governed by Paragraphs (b) and (d) of this Rule. 

(d) fe* For the purposes of this Rule, acres for new permits and renewal permits means the total 
acreage at the site; and acres for major modification of permits means that area of land affected by the 
modification within the permitted mine area, or any additional land that is to be disturbed and added 



6:9 NORTH CAROLINA REGISTER August I, 1991 



494 



PROPOSED RULES 



to an existing permitted area, or both. Each permit application shall be deemed incomplete until the 
permit application processing fee is paid. Schedule of Fees: 

MAJOR 
TYPE ACRES NEW PERMIT MODIFICATION RENEWAL 



CLAY 


1 but less 
than 25 


$ 500 




25 but less 


1000 




than 50 






50 or more 


1500 


SAND & 


1 but less 


150 


GRAVEL, 


than 5 




GEMSTONE 


5 but less 


250 


AND 


than 25 




BORROW 


25 but less 


500 


PITS 


than 50 






50 or more 


1000 


QUARRY, 


1 but less 


250 


INDUSTRIAL 


than 10 




MINERALS, 


10 but less 


1000 


DIMENSION 


than 25 




STONE 


25 but less 
than 50 


1500 




50 or more 


2500 


PEAT & 


1 or more 


2500 


PHOSPHATE 






GOLD (HEAP 


1 or more 


2500 


LEACH), 






TITANIUM & 






OTHERS 







$250 

500 

500 
100 

100 

250 

500 
100 

250 

500 

500 
500 

500 



$ 250 

500 

500 
100 

100 

500 

500 
100 

500 

500 

500 
500 

500 



(e) f4} Payment of the permit application processing fee shall be by check or money order made 
payable to the "N.C. Department of Environment, Health, and Natural Resources". The payment 
shall refer to the new permit, permit modification or permit renewal. 

0T^ fe->- In order to comply with the limit on fees set forth in G.S. 143B-290(4)b, the Director shall, in 
the first half of each state fiscal year, project revenues for the fiscal year from fees collected pursuant 
to this Rule. If this projection shows that the statutory limit will be exceeded, the Director shall order 
a pro rata reduction in the fee schedule for the remainder of the fiscal year to avoid revenue collection 
in excess of the statutory limits. 

Statutory Authority G.S. 143B-290. 



****************** 

iV ot/ce is hereby given in accordance with G.S. 
I SOB- 1 2 that the Water Treatment Facility Oper- 
ators Board of Certification intends to amend 
rule(s) cited as ISA XCAC 1SD .01 OS. .0203, 
,0403 - .0404. 



1 he public hearing will be conducted at 9:30 
a.m. on September JO, 1991 at the Jane S. 
McKimmon Center, N.C. State University, West- 
ern Boulevard, Raleigh, N.C. 



Co 



Th 



he proposed effective date of this action is De- 
cember I. 1991." 



omment Procedures: Any person requiring 
information may contact Mr. John C. McFadyen, 
P.O. Box 276S7, Raleigh, NC 27611, Telephone 
(919) 733-0379. Written comments may be sub- 
mitted to the above address 30 days prior to the 
public hearing. Written and oral comments may 
also be presented at the public hearing. Notice 



495 



6:9 y()RTH CAROLINA REGISTER August I, 1 991 



PROPOSED RULES 



of an oral presentation must be given to the above 
address at least 3 days prior to the public hearing. 

CHAPTER 18 - ENVIRONMENTAL HEALTH 

SUBCHAPTER 18D - WATER TREATMENT 
FACILITY OPERATORS 

SECTION .0100 - GENERAL POLICIES 

.0105 DEFINITIONS 

The following definitions shall apply through- 
out this Subchapter: 
(8) "Operator in responsible charge" means a 
person designated by the owner of a the 
water treatment facility to be the operator » 
responsible charge, responsible for the total 
operation and maintenance of the facility. 
The operator in responsible charge must 
possess a valid p e rman e nt certificate issued 
by the Board equivalent to or exceeding the 
classification of the facility for which he or 
she is designated. The operator in respon- 
sible charge is actually in charge of the daily 
operation and maintenance of the treatment 
facility and who residoG shall reside within 
30 minutos 50 miles of the facility and is 
shall be readily available for consultation a* 
on the premises of the facility in case of an 
emergency, malfunction or breakdown of 
equipment or other needs. No person shall 
be in responsible charge of more than one 
tr e atm e nt surface water facility or five well 
water facilities without written permission 
from the Board. A request for permission 
shall include documentation that the facili- 
ties in question can be properly managed in 
compliance with the requirements of 15A 
NCAC ISC. 

Statutory Authority G.S. 90.4-21 (c). 

SECTION .0200 - QUALIFICATION OF 

APPLICANTS AND CLASSIFICATION OF 

FACILITIES 

.0203 DETERMINATION OF VARIOUS 
CLASSES OF CERTIFICATION 

(b) The designation of plant classification shall 
be based on the following point system: 

RATING 
PARAMETER VALUE POINTS 

(11) Filtration 
(A) pressure 

(ii) synthetic media 
(brim) (birm) 8 

Statutory Authority G.S. 90A-21(c), -22. 



SECTION .0400 - ISSUANCE OF CERTIFICATE 

.0403 ISSUANCE OF GRADE CERTIFICATE 

(c) Any operator holding a valid surface certif- 
ication may petition the Board, and the Board 
may reinstate a revoked, lapsed, or suspended 
well certification if the grade of the surface cer- 
tification is equal to or higher than the grade of 
the well certification. 

Statutory Authority G.S. 90A-21(c), -23, -25. 

.0404 TEMPORARY CERTIFICATE 

(a) A temporary certificate may be issued by 
the Board when it is found that appropriately 
certified operators ©f poroono with experience are 
not available when it can be demonstrated to the 
Board that the person applying for the temporary 
certificate is competent and able to fulfill the ap- 
propriate duties according to the requirements of 
13A NCAC 18C. 

(b) Application for such temporary certificate 
shall be made on a form approved by the Board 
and must supply the information needed by the 
Board in order to protect the public health while 
such temporary certificates are in force. 

(c) A temporary certificate is applicable only 
for the system for which the operator is em- 
ployed at_ time of issuance. 



Statutory Authority G.S. 
90A-25. 



90A-21(c); 90A-23; 



TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 

iV otice is hereby given in accordance with G.S. 
1 SOB- 1 2 that the North Carolina Hearing Aid 
Dealers and Fitters Board intends to adopt 
rule(s) cited as 21 NCAC 22B .0603. 

1 he proposed effective date of this action is De- 
cember 1 . 1991 . 

1 he public hearing will be conducted at 1:30 
p.m. on September 20, 1991 at the Clemmons 
Public Library, Clemmons, N.C. 



Cc 



■ omment Procedures: Written comments must 
be received by the Board no later than 10:00 a.m. 
on 9120/91; requests to make oral comments at 
the hearing must be received by 10:00 a.m. on 
9/20/91. The Board's address is c/o Mrs. Judy 
Bedsaul, Executive Secretary, P.O. Box 767, 
Clemmons. NC 270/2. Oral comments may be 
limited to 3 minutes. 



6:9 NORTH CAROLINA REGISTER August I, 1 99 1 



496 



PROPOSED RULES 



tLditor's Sole: This Rule has been filed as a 
temporary ride effective July 11, 1991 for a period 
of ISO days to expire on January 7, 1992. 

CHAPTER 22 - HEARING AID DEALERS AND FITTERS BOARD 

SUBCHAPTER 22B - RULE MAKING PROCEDURES 

SECTION .0600 - FEES 

.0603 FEE SCHEDULE 

The Board hereby establishes the following fees: 

( 1 ) For a continuing education make-up class provided by the Board, not to 

exceed two days (per person, per day) $ 50.00 

(2) For a license examination preparation course provided by the Board, not 

to exceed three days (per person, per day) $ 50.00 

(3) For approval of a continuing education program provider $ 40.00 

(4) Verifying and recording attendance at a continuing education program 

(per program, per person) $ 15.00 

(5) For a voluntary apprentice training workshop (per person, per day) $ 50.00 

(6) Examination fee $ 50.00 

(7) Application for a license by examination $150.00 

(8) Application for a license to fit and sell hearing aids in this state by a 

licensee of another state or territory $150.00 

(9) Issuance of certificate of license after successfully passing examination $ 25.00 

(10) Application for registration as an apprentice $100.00 

(11) Renewal of apprentice registration $150.00 

( 12) .Annual license renewal $150.00 

(a) Late fee to reinstate expired license within 60 days after license expiration 

(in addition to renewal fee) $ 25.00 

(b) Late fee to reinstate expired license more than 60 days after license expiration 

(in addition to renewal fee) $ 50.00 

( 13) To reissue a suspended license more than 90 days after but not more than 

two years after license suspended $200.00 

Statutory Authority G.S. 1 2-3 J; 93 D- 3. 

****************** presented, and preferably a written copy of the 

presentation, by September 5, 1991. Oral presen- 
tations will be limited to ten minutes. Mail should 
Notice is hereby given in accordance with G.S. be addressed to the X.C. State Board of Regis- 
1 SOB- 12 that the X.C. State Board of Registration tration for Professional Engineers and Land Sur- 
for Professional Engineers and Land Surveyors veyors, 3620 Six Forks Road, Raleigh, SC 27609. 
intends to amend rule(s) cited as 21 XCAC 56 

0901 1603 - 1604 CHAPTER 56 - BOARD OF PROFESSIONAL 

ENGINEERS AND LAND SURVEYORS 

The proposed effective date of this action is De- SECnoN 0900 . BUSINESS-ORGANIZATIONS: 
cember 1, 1991. GENERAL 

1 he public hearing will be conducted at 9:30 .0901 OFFICES 

a.m. on September 12. 1991 at 3620 Six Forks (a) Professional Engineering Services. Every 

Road, Suite 300, Raleigh. XC 2"609. firm, partnership or corporation maintaining e«e 

,-, &f more? places ef business which performs or 

C omment Procedures: Any person wishing to offers to perform engineering services in the State 

present statements either orally, or in writing, at of North Carolma fef the purpose ef performing 

the public hearing should' file notice with the professional jngmoenng services shall have a res- 

Board by submitting a summary of views to be ident registered Professional Engineer in respon- 



497 



6:9 SORTH CAROLINA REGISTER August 1,1991 



PROPOSED RULES 



sible charge at eaeh s e parat e place &f business. 
in each separate office in which professional en- 
gineering services are performed or offered to be 
performed. 

(b) Land Surveying Services. Every firm, 
partnership or corporation maintaining &&& &t 
mor e plac e s ef business which performs or offers 
to perform land surveying services in the State 
of North Carolina fof the purpose ef performing 
laft4 surveying services shall have a resident 
Registered Land Surveyor in responsible charge 
at each separate place ef business, in each sepa- 
rate office in which land surveying services are 
performed or offered to be performed. 

(c) Resident. A resident registered Professional 
Engineer or Registered Land Surveyor as used in 
this Rule, means a licensee who spends a major- 
ity of his normal working time in said place of 
business. A registered Professional Engineer or 
Registered Land Surveyor can be the resident 
licensee at only one place of business at one time. 

(d) No firm, partnership, or corporation shall 
practice, or offer to practice either land surveying 
or engineering, unless there is a registered resident 
for that sendee in responsible charge at that said 
place of business. Advertisements, signs, letter- 
heads, business cards, directories, or any other 
form of representation shall avoid any reference 
to any service that cannot be provided under the 
responsible charge of a properly qualified resident 
professional. 

Statutory Authority G.S. 89C-I0; S9C-24. 

SECTION .1600 - STANDARDS OF PRACTICE 

FOR LAND SURVEYING IN NORTH 

CAROLINA 

.1603 CLASSIFICATION OF SURVEYS 

(a) General. For the purpose of specifying 
minimum allowable surveying standards, four 
general classifications of lands in North Carolina 
are established from the standpoint of their real 
value, tax value, or location. Each map other 
tha» small let surveys, shall contain a statement 
of the calculated ratio of precision before adjust- 
ments. 

(b) Local Control Network Surveys (Class 
AA). Local control network surveys are traverse 
networks utilizing permanent points for the pur- 
pose of establishing local horizontal control net- 
works for future use of local surveyors. For 
Class AA surveys in North Carolina, the angular 
error of closure shall not exceed ten seconds 
times the square root of the number of angles 
turned. The ratio of precision shall not exceed 
an error of closure of one foot per 20,000 feet of 
perimeter of the parcel of land (1:20,000). 



(c) Urban Land Surveys (Class A). Urban 
surveys include lands which normally he within 
a town or city. These lands are usually com- 
mercial property and justify maximum surveying 
accuracy. For Class A surveys in North 
Carolina, the angular error of closure shall not 
exceed 20 seconds times the square root of the 
number of angles turned. The ratio of precision 
shall not exceed an error of closure of one foot 
per 10,000 feet of perimeter of the parcel of land 
(1:10,000). 

(d) Suburban Land Surveys (Class B). Sub- 
urban surveys include lands in or surrounding the 
urban properties of a town or city. The land re- 
presented by these surveys is often valuable; but 
more important, it is land whose value is by de- 
finition rapidly increasing. For Class B surveys 
in North Carolina, the angular error of closure 
shall not exceed 25 seconds times the square root 
of the number of angles turned. The ratio of 
precision shall not exceed an error of closure of 
one foot per 7,500 feet of perimeter of the parcel 
of land (1:7,500). 

(e) Rural and Farmland Surveys (Class C). 
Rural and farmland surveys include lands located 
in rural areas of North Carolina and generally 
outside the suburban properties. For Class C 
surveys in North Carolina, the angular error of 
closure shall not exceed 30 seconds times the 
square root of the number of angles turned. The 
ratio of precision shall not exceed an error of 
closure of one foot per 5,000 feet of perimeter of 
the parcel of land (1:5,000). 

Statutory Authority G.S. 89C-J0; 89C-21. 

.1604 MAPPING REQUIREMENTS 

(a) The size of a map shall be such that all de- 
tails can be shown clearly. 

(b) Any lines which are not actually surveyed 
must be clearly indicated on the map by a broken 
line and a statement included revealing the source 
of information from which the line is derived. 

(c) Any revision on a map after a surveyor's 
seal is affixed shall be noted and dated. 

(d) All surveys based on the North Carolina 
grid system will contain a statement identifying 
the coordinate system used as the North Ameri- 
can Datum of 1983 ("NAD 83") or the North 
American Datum of 1927 ("NAD 27"). 

(e) All plats (maps), unless clearly marked as 
"Preliminary Plat - Not for recordation, 
conveyances, or sales" will be sealed, signed and 
dated by the Registered Land Surveyor and shall 
contain the following: 

(1) An accurately positioned north arrow 
coordinated with any bearings shown on 
the plat. Indication shall be made as to 



6:9 NORTH CAROLINA REGISTER August I, 1991 



498 



PROPOSED RULES 



whether the north index is true, magnetic, 
North Carolina grid, or is referenced to 
old deed or plat bearings. If the north 
index is magnetic or referenced to old deed 
or plat bearings, the date and the source 
(if known) such index was originally de- 
termined shall be clearly indicated. 

(2) The azimuth or courses and distances as 
surveyed of every line shall be shown. 
Distances shall be in feet or meters and 
decimals thereof. The number of decimal 
places shall be appropriate to the class of 
survey required. 

(3) All plat lines shall be horizontal (level) 
or North Carolina Grid measurements. 
All information shown on the plat shall 
be correctly plotted to the scale shown. 
Enlargement of portions of a plat are ac- 
ceptable in the interest of clarity, where 
shown as inserts on the same sheet. 
Where the North Carolina grid system is 
used the grid factor shall be shown on the 
face of the plat and a designation as to 
whether horizontal ground distances or 
grid distances were used. 

(4) \\Tiere a boundary is formed by a curved 
line, the following data must be given: 
actual curve data, or as a traverse of 
bearings and distances around the curve. 
If standard curve data is used the bearing 
and distance of the long chord (from point 
of curvature to point of tangency) must 
be shown on the face of the plat. 

(5) Where a subdivision of land is set out on 
the plat, all streets and lots shall be care- 
fully plotted with dimension lines indicat- 
ing widths and all other information 
pertinent to reestablishing all lines in the 
field. This shall include bearings and dis- 
tances sufficient to form a continuous 
closure of the entire perimeter. 

(6) Where control corners have been estab- 
lished in compliance with G.S. 39-32.1, 
39-32.2, 39-32.3, and 39-32.4, as amended, 
the location and pertinent information as 
required in the reference statute shall be 
plotted on the plat. All other corners 
which are marked by monument or na- 
tural object shall be so identified on all 
plats, and all corners of adjacent owners 
in the boundary lines of the subject tract 
which are marked by monument or na- 
tural object must be shown with a dis- 
tance from one or more of the subject 
tract's corners. 

(7) The names of adjacent land owners along 
with lot, block or parcel identifier and 
subdivision designations or other legal 



(8) 



(9) 



reference where applicable, shall be shown 
where they could be determined by the 
surveyor. 

All visible and apparent rights-of-way, 
watercourses, utilities, roadways, and 
other such improvements shall be accu- 
rately located where crossing or forming 
any boundary line of the property shown. 

Where the plat is the result of a survey, 
one or more corners shall, by a system of 
azimuths, or courses and distances, be ac- 
curately tied to and coordinated with a 
monument of some United States or State 
Agency survey system, such as the Na- 
tional Geodetic Survey (formerly U.S. 
Coast and Geodetic Survey) system, 
where such monument is within 2,000 feet 
of said corner. Where the North Carolina 
grid system coordinates of said monument 
are on file in the Department of Natural 
Resources and Community Development, 
the coordinates of the referenced comer 
shall be computed and shown in X (east- 
ing) and Y (northing) coordinates on the 
map. In the absence of Grid Control, or 
within a previously recorded subdivision, 
other appropriate natural monuments or 
land marks shall be used. 

A vicinity map shall appear on the face 
of the plat. 

(11) T4*# Title Block &f titfe spaco ef- Each map 
shall contain the property designation, 
name of owner or prospective owner, lo- 
cation (including township, county, and 
state), and the date or dates the survey 
was conducted in the title space or Title 
Block. In addition each map will contain 
a scale of the drawing listed in words or 
figures, a bar-graph when required or 
necessary, the name, address, registration 
number, and seal of the surveyor, a»4 the 
title source, and a legend depicting no- 
menclature. 

(12) Area if indicated, is to be computed by 
double meridian distance or equally accu- 
rate method. Area computations by esti- 
mation, by planimeter, by scale, or by 
copying from another source are not ac- 
ceptable methods, except in the case of 
tracts containing inaccessible areas and in 
these areas the method of computation 
will be clearly stated. 

Statutory Authority G.S. 89C-10; 89C-21. 

****************** 



(10) 



499 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



PROPOSED RULES 



IS otice is hereby given in accordance with G.S. 
1 SOB- 12 that the North Carolina Real Estate 
Commission intends to amend rule(s) cited as 21 
NCAC 58D .0102, .0203, .0206; and adopt 
rule(s) cited as 21 NCAC 58D .0210. 

1 he proposed effective date of this action is 
January 1, 1992. 

1 he public hearing will be conducted at 3:00 
p.m. on September 17, 1991 at the Office of the 



North Carolina Real Estate Commission, 1313 
Navaho Drive, Raleigh, North Carolina 27609. 



Cc 



■ omment Procedures: Comments regarding the 
rules may be made orally or submitted in writing 
at the public hearing. Written comments not 
submitted at the hearing may be delivered to the 
North Carolina Real Estate Commission, Post 
Office Box 17100, Raleigh, North Carolina 27619, 
so as to be received by the hearing date. 



CHAPTER 58 - REAL ESTATE COMMISSION 

SUBCHAPTER 58D - REAL ESTATE APPRAISERS 

SECTION .0100 - APPLICATION FOR APPRAISER LICENSE OR CERTIFICATE 

.0102 FILING AND FEES 

(b) The following fees shall be charged: 

(1) application for original residential appraiser license $100.00 $150.00 

(2) application for original residential appraiser certificate $100.00 $150.00 

(3) application for original general appraiser certificate $100.00 $150.00 



Statutory Authority G.S. 93A-73(a),(b); 93A-77. 

SECTION .0200 - APPRAISER LICENSING AND 
CERTIFICATION 

.0203 LICENSE AND CERTIFICATE RENEWAL 

(a) A holder of an appraiser license or certif- 
icate desiring the renewal of such license or cer- 
tificate shall, during the month of June, apply for 
same in writing upon a form approved by the 
Commission and shall forward the required fee 
of oovonty five dollaro ($75.00). one hundred 
dollars ($100.00). Forms are available upon re- 
quest to the Commission. 

Statutory Authority G.S. 93A-74(a),(b); 93A-77. 

.0206 EXPIRED LICENSE OR CERTIFICATE 

(a) Expired real estate appraiser licenses and 
certificates may be reinstated within 12 months 
after expiration upon proper application, pay- 
ment to the Commission of the oovonty fivo del- 
la*. ($75.00) one hundred dollar ($100.00) renewal 
fee plus a late filing fee often dollars ($10.00) per 
month for each month or part thereof that such 
license or certificate is lapsed, and provision of 
proof of having obtained the continuing educa- 
tion that would have been required had the li- 
cense or certificate been continuously renewed. 

(b) Licenses and certificates expired for more 
than 12 months may be considered for rein- 
statement upon proper application, payment of 
the »ft# hundrod dollar ($100.00) one hundred 
fifty dollar ($150.00) original license or certificate 



fee, payment of the one hundred twenty dollar 
($120.00) late filing fee, and provision of proof 
of having obtained continuing education equal to 
the total number of classroom hours that would 
have been required had the license or certificate 
been continuously renewed. Such applications 
will be reviewed by the Commission to determine 
whether an examination and/or additional real 
estate appraisal education will be required. 

Statutory Authority G.S. 93A-74(b),(c); 93A-75 
(d); 93A-77. 

.0210 TEMPORARY PRACTICE 

(a) A real estate appraiser from another state 
who is licensed or certified by the appraiser li- 
censing or certifying agency in such state may 
apply for registration to receive temporary ap- 
praiser licensing or certification privileges in this 
State by paying a fee of fifty dollars ($50.00) and 
filing with the Commission a notarized applica- 
tion form prescribed by the Commission for such 
purpose which shall set forth and include: 

(1) the applicant's name, address, social secu- 
rity number and such other information 
as may be necessary to identify the appli- 
cant; 

(2) a statement under seal issued by the ap- 
praiser licensing or certifying agency in the 
applicant's resident state setting forth: 

(A) the applicant's name, business name 
and address; 



6:9 NORTH CAROLINA REGISTER August I, 1 991 



500 



PROPOSED RULES 



( B ) the type license or certificate held by the 
applicant and the license or certificate 
number; 

(C) the dates of licensure or certification 
and the expiration date of the applicant's 
current license or certificate; 

(D) whether or not the license or certificate 
was issued as a result of passing a 
licensure .certification examination, by 
reciprocity, or by some other means; and 

(E) a complete record of any disciplinary 
actions taken or disciplinary proceedings 
pending against the applicant; 

(3) an irrevocable consent that service of 
process in any action against the applicant 
arising out of the applicant's appraisal ac- 
tivities in this State may be made by de- 
livery of the process on the Executive 
Director of the Commission; 

(4) a statement that the applicant has read and 
agrees to abide by all appraiser laws and 
rules in this State and agrees to cooperate 
with any investigation initiated by the 
Commission at the direction of the Ap- 
praisal Board including supplying relevant 
documents and personally appearing be- 
fore the Board or the Commission's in- 
vestigators; 

(5) information sufficient to identify the ap- 
praisal assignment to be performed under 
the temporary practice permit, including 
the projected beginning and ending dates 
for performing such appraisal assignment, 
but shall not require the applicant to 
divulge any information concerning the 
appraisal assignment which would breach 
the applicant's duty of confidentiality to 
his client under the provisions of the 
Lniform Standards of Professional Ap- 
praisal Practice; and 

(6) such other information as may be neces- 
sary to determine the applicant's eligibility 



for temporary appraiser licensing or cer- 
tification privileges in this State. 

(b) L'pon filing a properly completed applica- 
tion accompanied by the required fee, and oth- 
erwise satisfying the Appraisal Board as to his 
qualifications, eligibility and moral fitness for 
temporary licensing or certification privileges, an 
applicant shall be granted a temporary practice 
permit by the Commission authorizing the ap- 
plicant to perform in this State the appraisal as- 
signment described in such application, provided 
that the length of time projected by the applicant 
for the completion of the assignment is reason- 
able given the scope and complexity of the as- 
signment. 

(c) Licensing and certification privileges granted 
under the provisions of this Rule shall expire 
upon the completion of the appraisal assignment 
described in the application for temporary li- 
censing or certification privileges or on the expi- 
ration date set forth in the temporary practice 
permit, whichever shall come first. However, 
upon a showing by the permittee satisfactory to 
the Appraisal Board that, notwithstanding the 
permittee's diligent attention to the appraisal as- 
signment, additional time is needed to complete 
the assignment, the Commission shall extend the 
licensing or certification privileges granted under 
the permittee's temporary practice permit to af- 
ford him additional time to complete the ap- 
praisal assignment. 

(d) Persons granted temporary licensing or 
certification privileges under this Rule shall not 
advertise or otherwise hold themselves out as 
bemg a North Carolina state-licensed or state- 
certified appraiser. 

Authority G.S. 93A-77; Title XI, Section 1122 
(a); 12'U.S.C. 3351(a). 



501 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



FINAL RULES 



Adopted rules filed by the Departments of Correction, Revenue and Transportation are published in 
this section. These departments are not subject to the provisions ofG.S. I SOB, Article 2 requiring 
publication in the N.C. Register of proposed rules. 

U pon request from the adopting agency, the text of rules will be published in this section. 



TITLE 19A - DEPARTMENT OF TRANSPORTATION 

CHAPTER 3 - DIVISION OF MOTOR VEHICLES 

SUBCHAPTER 3G - TRAFFIC SAFETY EDUCATION SERVICES SECTION 

SECTION .0200 - SCHOOL BUS DRD/ER TRALNTNG AND CERTIFICATION 

.0206 PERIOD OF CERTIFICATION 

A school bus driver certificate shall be valid for a period of four years, more or less, from the date of 
certification. Date of expiration will be the driver's birthday in the fourth calendar year following cer- 
tification. For drivers who are already 65 years of age or older, the date of expiration will be the driver's 
birthday in the next calendar year. For drivers who will turn 65 in less than four years, the date of 
expiration will be the driver's birthday in the calendar year in which he turns 65. 

History Note: Statutory Authority G.S. 20-39(b); 20-218; 
Eff April 1, 1989; 
Amended Eff. August 1, 1991; September 1, 1990. 

.0207 RENEWAL OF CERTIFICATION 

Every driver must be re-certified every four years upon passing the three written tests (general know- 
ledge, passenger transport, and air brakes), the three road tests (pre-trip inspection, basic skills, and 
road), and an eye test. A driver may be exempted from the written tests, provided he has a driving 
record clear of any conviction for a moving violation since his last certification and has had at least four 
hours of in-service training since his last certification. Any driver whose certification expires may be 
re-certified within the next four years following the expiration upon passing the three written tests 
(general knowledge, passenger transport, and air brakes), the three road tests (pre-trip inspection, basic 
skills, and road), and an eye test. If more than four years have elapsed since the expiration of the most 
recent certification, the applicant must complete the full training course required of a beginning driver. 

History Note: Statutory Authority G.S. 20-39(b); 20-218; 
Eff. April I, 1989; 
Amended Eff. August I, 1991. 

.0209 CANCELLATION OF CERTIFICATION 

The Division of Motor Vehicles shall cancel the school bus driver certificate of any driver for the fol- 
lowing reasons: 

( 1) Any determination that the certificate was issued on the basis of misinformation, false statements, 
or fraud. 

(2) A suspension, revocation, or cancellation of the driver license. 

(3) Conviction of a motor vehicle moving offense, to the following extent: 

(a) Driving while impaired; 

(b) Passing a stopped school bus; 

(c) Hit and run; 

(d) Reckless driving; 

(e) Speeding more than 15 mph above the posted limit; 

(f) Two convictions within a period of 12 months; 

(g) A conviction of violation committed while operating a school bus. * 

(4) A determination of physical or mental inadequacy under the provisions of the physical require- 
ments noted in Rule .0205 of this Section. 



6:9 NORTH CAROLINA REGISTER August I, 1991 502 



FINAL RULES 



(5) A local cancellation of certification, in the discretion of the local administrative unit, for violation 
of local regulations, submitted formally to the Driver Education Specialist for cancellation at the 
state level. 

(6) Upon recommendation of the Driver Education Specialist or local school officials, the Division 
of Motor Vehicles may require re-examination of any certified driver whose qualifications become 
questionable or who exhibits evidence of improper or unsafe driving practices and driving proce- 
dures. If such a re-examination reveals a significant problem, the Driver Education Specialist shall 
have the authority to suspend the certified driver from driving any school bus pending re-training 
of the driver. If the problem cannot be corrected, the Driver Education Specialist shall have the 
authority to cancel the certification of the school bus driver. 

(7) A driving record which in its overall character arouses serious question about the reliability, 
judgment, or emotional stability of the driver. 

History Note: Statutory Authority G.S. 20-39(b); 20-218; 
Eff. April I, 19S9; 
Amended Eff. August 1, 1991; September 1, 1990. 

.0213 RENEWAL OF CERTIFICATION AFTER CANCELLATION 

(a) Any driver whose school bus driver certificate has been canceled shall not be eligible to apply for 
re-certification for a period of six months from the date of cancellation. Any person so applying must 
be recommended by the superintendent or principal of the school and shall be required to complete the 
full training course required for a beginning driver. Such person must meet all the requirements of an 
original applicant. 

(b) The only exceptions to this policy shall be in the case of a local cancellation, in which a written 
request from the school authorities will be required, and in the case of a suspension for the duration 
of a status offense such as lapsed liability insurance, failure to appear in court, or failure to comply with 
an out-of-state citation. 

(c) For the purposes of this Section a ten-day revocation shall be considered a suspension for an ac- 
tual driving action. The driver will remain suspended until the actual adjudication of the case. If at 
the actual adjudication of the case the driver is found not guilty of driving while impaired, he may be 
re-instated. If the driver is found guilty of driving while impaired, his suspension will be declared fully 
effective, and he will not be considered for re-certification for a period of five years following the date 
of conviction. 

Historv Note: Statutory Authority G.S. 20-39 (b); 20-218; 
Eff. April 1, 1989; 
Amended Eff. August 1, 1991. 



503 6:9 NORTH CAROLINA REGISTER August 1, 1991 



LIST OF RULES CODIFIED 



1 he List of Rules Codified is a listing of rules that were filed with OAH in the month indicated. 

Key: 

Citation = Title, Chapter, Subchapter and Rule(s) 

AD = Adopt 

AM = Amend 

RP = Repeal 

With Chgs = Final text differs from proposed text 

Eff. Date = Date rule becomes effective 

Temp. Expires = Rule was filed as a temporary rule and expires on this date 



NORTH CAROLINA ADMINISTRATIVE CODE 



JULY 1991 



TITLE DEPARTMENT 

4 Economic and Community 

Development 
9 Governor 

10 Human Resources 

1 1 Insurance 
13 Labor 

14A Crime Control and Public Safety 
15A Environment, Health, and Natural 
Resources 



TITLE DEPARTMENT 

16 Public Education 

18 Secretary of State 

19A Transportation 

21 Occupational Licensing Boards: 

22 - Hearing Aid Dealers and Fitters 

40 - Opticians 

48 - Physical Therapy Examiners 



Citation 


AD 


AM 


RP 


With 
Chgs 


EfT. 
Date 


Temp. 
Expires 


4 NCAC 2R .1502 




• 






08 01 91 




9 NCAC 2B Executive Order 146 










06 28 91 




10 NCAC 3H .1107(b) Recodified to 
10 NCAC 3H .0712 










06 13 91 




.1107(c) Recodified to 
10 NCAC 3H .1805 










06 13 91 




10C .0501 - .0514 

Transferred and 
Recodified to 
15A NCAC 13B 
.1501 - .1514 










06 27 91 




14K .0103 




• 






10 01 91 




.0314 - .0315 




• 






10 01 91 




.0366 


• 








OS 28 91 




.0367 


• 








08 28 91 




18L .1522 




• 






10 01 91 




22J .0101 - .0104 


• 








12 01 91 





6:9 NORTH CAROLINA REGISTER August I, 1991 



504 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


VAT. 
Date 


Temp. 
Expires 


10 NCAC 22J .0201 


• 








12 01 91 




.0301 - .0309 


• 








12 01 91 




.0310 


• 






• 


12 01 91 




24A .0303 








• 


09 01 91 




26D .0014 










08 01 91 




26H .0205 








• 


OS 0! 91 




35E .0103 








• 


10 01 91 




411 .0102 










07 10 91 


01 05 92 


.0304 










07 10 91 


01 05 92 


.0401 - .0410 


• 








07 10 91 


01 05 92 


4213 .1201 










08 01 91 




42C .2001 - .2002 










08 01 91 




.2006 










08 01 91 




45H .0201 










08 01 91 




.0203 










08 01 91 




.0204 










08 01 91 




50 B .0208 


• 








07 01 91 


12 3191 


11 NCAC 16 .0102 










08 01 91 




13 NCAC 7C .0101 










08 06 91 




L4A NCAC 4 A .0001 










08 01 91 




15A NCAC 2D .0103 










08 01 91 




.0501 










08 01 91 




.0503 










08 01 91 




.0524 - .0525 








• 


08 01 91 




.0530 










08 01 91 




.0531 










08 01 91 




.0536 










08 01 91 




2H .0103 










08 01 91 




.0105 










08 01 91 




.0107 










08 01 91 




.0127 










08 01 91 




012S - .0137 






• 




OS 01 91 




.0601 








• 


08 01 91 




.0607 










08 01 91 




70 .0105 










OS 01 91 




1013 .0115 








• 


OS 01 91 




101) .0003 








• 


08 01 91 




101- .0324 








• 


08 01 91 





505 



6: 9 NOR TH CAR OLINA R EG IS TER 



August I, 1991 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


Kfr. 

Date 


Temp. 
Expires 


15A NCAC 10F .0364 


• 






• 


08 01 91 




13A .0009 




• 




• 


0801 91 




.0011 




• 






08 01 91 




.0013 




• 






08 01 91 




.0016 


• 






• 


08 01 91 




.0017 


• 








08 01 91 




16A .0211 


• 






• 


0801 91 




.0702 










08 01 91 




.0711 








• 


0801 91 




18A .1937 








• 


0801 91 




.1952 










08 01 91 




.1954 - .1955 










08 01 91 




.1958 








• 


08 01 91 




.1961 










07 0391 


12 30 91 


.1961 - .1962 








• 


08 01 91 




.2210 










08 01 91 




.2525 










08 01 91 




.2601 








• 


08 01 91 




18C .0102 








• 


08 01 91 




19A .0201 (d)(e) Recodified 
to 15A NCAC 19A 
.0202 










06 12 91 




.02010) Recodified to 
15A NCAC 19A 
.0203 










06 12 91 




.0202 - .0204 
Recodified to 
ISA NCAC 19A 
.0210 - .0212 










06 12 91 




19B .0503 










08 01 91 




19C .0601 - .0603 








• 


08 01 91 




.0604 










08 01 91 




.0605 








• 


08 01 91 




.0606 










08 01 91 




.0607 








• 


08 01 91 




19H .0703 








• 


08 01 91 




.0704 










08 01 91 




.0805 










08 01 91 




21A .0817 










08 01 91 




26A .0001 










08 01 91 





6:9 NORTH CAROLINA REGISTER August I, 1991 



506 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


EfT. 
Date 


Temp. 
Expires 


16 NCAC 1A .0001 










OS 01 91 




18 NCAC 6 .1210 










08 01 91 




19A NCAC 3G .0206 - .020" 










08 01 91 




.0209 










08 01 91 




.0213 










08 01 91 




21 NCAC 22B .0603 


• 








07 11 91 


01 07 92 


40 .0202 










08 01 91 




4SE .0110 








• 


08 01 91 




48F .0002 










08 01 91 




4SG .0203 








• 


08 01 91 





507 



6:9 SORTH CAROLINA REGISTER August I, 1991 



ARRC OBJECTIONS 



1 he Administrative Rules Review Commission (ARRC) objected to the following rules in accordance 
with G.S. 143B-30.2(c). State agencies are required to respond to ARRC as provided in G.S. 
I43B-30.2(d). 



ADMINISTRATION 

Auxiliary Services 

/ NCAC 4G .0212 - Telefax and Telegraph Proposals 
Agency Revised Rule 

AGRICULTURE 

Plant Industry 

2 NCAC48F .0306 - Collection and Sale of Venus Flytrap 
Agency Revised Rule 

ECONOMIC AND COMMUNITY DEVELOPMENT 

Banking Commission 

4 NCAC 3G .0203 - Expiration and Renewal 

Agency Revised Rule 
4 NCAC 3G .0502 - Annual Report 

Agency Revised Rule 
4 NCAC 3G .0601 - Revocation or Suspension; Hearings 

Agency Revised Rule 

Hazardous Waste Management Commission 

4 NCAC 18 .0309 - Final Site 

Agency Returned Rule Unchanged 

Agency Revised Rule 

EDUCATION 

Elementary and Secondary Education 

16 NCAC 6C .0207 - Prospective Teacher Scholarship Loans 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Adult Health 

ISA NCAC 16 A .0804 - Financial Eligibility 

No Response from Agency 

Agency Responded 

No Response from Agency 
ISA NCAC 16A .0806 - Billing the HIV Health Services Program 

No Response from Agency 

Agency Responded 

No Response from Agency 

Coastal Management 



ARRC Objection 5/16/9/ 
Obj. Removed 5/16/91 



ARRC Objection 4/18/91 
Obj. Removed 4/18/91 



ARRC Objection 3/21/91 

Obj. Removed 4/18/91 

ARRC Objection 3/21/91 

Obj. Removed 4/18/91 

ARRC Objection 3/21/91 

Obj. Removed 4/18/91 



ARRC Objection 1/18/91 

No Action 2/25/91 

ARRC Objection 4/18/91 

Obj. Removed 5/16/91 



ARRC Objection 6/21/91 



ARRC Objection 1/18/91 
2/25/91 
No Action 3/21/91 

No Action 4/18/91 

ARRC Objection 1/18/91 
2/25/91 
No Action ■ 3/21/91 

No Action 4/18/91 



6:9 NORTH CAROLINA REGISTER August I, 1991 



50S 



ARRC OBJECTIONS 



ISA NCAC 7 J .0409 - Civil Penalties 
Agency Returned Rule Unchanged 
Rule Returned to Agency 
Agency Filed Rule with OAH 

Environmental Health 

15 A SCAC 18 A .2537 - Appeals 

Agency Responded 

Agency Withdrew Rule 
ISA XCAC 18A .2616 - Requirements for Employees 

Agency Revised Rule 
ISA NCAC ISA .2618 - 

Agency Responded 

Agency Revised Rule 
ISA XCAC 18A .2711 - 

Agency Responded 

Agency Revised Rule 



Cleaning of Equipment and Utensils 



Toilet Facilities 



HUMAN RESOURCES 



Facility Services 



ARRC Objection 1 j 18/91 

No Action 2/25/91 

No Action 4/18/91 

Rule Eff. 6/1/91 



ARRC Objection 
No Action 

ARRC Objection 

Obj. Removed 
ARRC Objection 
No Action 
Obj. Removed 
ARRC Objection 
No Action 
Obj. Removed 



3/21/91 
4/18/91 
5/16/91 
4/18/91 
5/16/91 
3/21/91 
4/18/91 
5/16/91 
3/21/91 
4! 18/91 
5/16/91 



10 NCAC 3C .0914 - Defs Applicable/ Psychiatric/ Substance Abuse Svcs 

Agency Revised Rule 
10 NCAC 3 J .2401 - Requirement for Operations Manual 

Agency Revised Rule 
10 NCAC 3T .0102 - Definitions 

Agency Revised Rule 
10 NCAC 3T .0603 - Home Health Aide Services 

Agency Revised Rule 
10 NCAC 3T .110/ - Administration 

Agency Revised Rule 
10 NCAC 3T .1112- Design and Construction 

Agency Revised Rule 
10 NCAC 3T .1114- Plumbing 

Agency Revised Rule 
10 NCAC 3T .1206 - Hospice Inpatient Fire and Safety Requirements 

Agency Revised Rule 

Individual and Family Support 

10 NCAC 42B .1201 - Personnel Requirements 

No Response from Agency 

Agency Returned Rule Unchanged 

Agency Filed Rule with OAH 
10 NCAC 42C .2001 - Qualifications of Administrator 

No Response from Agency 

Agency Returned Rule Unchanged 

Agency Filed Rule with OAH 
10 NCAC 42C .2002 - Qualifications of Supervisor-in-Charge 

No Response from Agency 

Agency Returned Rule L nchanged 

Agency Filed Rule with OAH 
10 NCAC 42C .2006 - Qualifications of Activities Coordinator 

No Response from Agency 

Agency Returned Rule Unchanged 



ARRC Objection 
Obj. Removed 
ARRC Objection 
Obj. Removed 
ARRC Objection 
Obj. Removed 
ARRC Objection 
Obj. Removed 
ARRC Objection 
Obj. Removed 
ARRC Objection 
Obj. Removed 
ARRC Objection 
Obj. Removed 
ARRC Objection 
Obj. Removed 



ARRC Objection 

No A ction 
Rule Eff. 
ARRC Objection 

No Action 
Rule Eff. 
ARRC Objection 

No Action 
Rule Eff. 
ARRC Objection 

No Action 



4/18/91 
4/18/91 
4/18/91 
4/18/91 
4/18/91 
4/18/91 
4, 18,91 
4/18/91 
4/18/91 
4/18/91 
4/18/91 
4/18/91 
4/18/91 
4/18/91 
4/18/91 
4/18/91 



1/18/91 
2/25/91 
3/21/91 
8/01/91 
1:18:91 
2/25:91 
3/21/91 
8/01/91 
1/18/91 
2/25/91 
3/21/91 
8/01/91 
118 91 
2125/91 
3' 21/9 1 



509 



6:9 NORTH CAROLINA REGISTER August I, 1991 



ARRC OBJECTIONS 



Agency Filed Rule with OAH 
10 NCAC 42C .3301 - Existing Building 

Agency Returned Rule Unchanged 

Agency Filed Rule with OAH 
10 NCAC 42D .1401 - Qualifications of Administrator /Co- Administrator 

Agency Returned Rule Unchanged 

Agency Filed Rule with OAH 

Social Services 

10 NCAC 24 A .0303 - Sell County Board Members! Social Svcs Comm 
10 NCAC 39D .0202 - Conciliation Procedure 

Agency Revised Rule 
10 NCAC 39D .0408 - Participation Expenses 

Agency Revised Rule 
10 NCAC 39D .0409 - One-Time Work Related Expenses 

Agency Revised Rule 
10 NCAC 39D .0411 - Supportive Svcs/ /Available in Non-JOBs Counties 

Agency Revised Rule 

JUSTICE 

NC Criminal Justice Education 

12 NCAC 9B .0301 - Certification of Instructors 
Agency Revised Rule 

12 NCAC 9B .0302 - General Instructor Certification 
Agency Revised Rule 

LABOR 

Migrant Housing 

13 NCAC 16 .0201 - Conduct of Preoccupancy Inspections 
Agency Revised Rule 

13 NCAC 16 .0301 - Provisional Occupancy- 
Agency Revised Rule 

13 NCAC 16 .0302 - Provisional Occupancy Denied 
Agency Revised Rule 

13 NCAC 16 .0303 - Inspection of Provisionally Occupied Housing 
Agency Revised Rule 

LICENSING BOARDS AND COMMISSIONS 

Auctioneer's Commission 

21 NCAC 4B .0602 - Advertising 
Agency Revised Rule 

Cosmetic Art Examiners 

21 NCAC 14F .0010 - Sanitary Rules 

21 NCAC 14G .0017 - Changes in Teaching Staff 

21 NCAC 141 .0302 - Library 

Agency Responded 

Agency Revised Rule 
21 NCAC 141 .0304 - Classroom Work 
21 NCAC 14L .02/0 - Effect on Student-Teacher Ratio 



Rule Eff 8101/91 

ARRC Objection 11/14/90 
No Action 12/20/90 

Rule Eff 5/01/91 

ARRC Objection 11/14/90 
No Action 12120:90 

Rule Eff. 5/01,91 



ARRC Objection 4/18/91 

ARRC Objection 4/18/91 

Obj. Removed 4/18/91 

ARRC Objection 4/ 18/91 

Obj. Removed 4/18/91 

ARRC Objection 4/18/91 

Obj. Removed 4/18/91 

ARRC Objection 4/18/91 

Obj. Removed 4/18/91 



ARRC Objection 4118/91 

Obj. Removed 5116/91 

ARRC Objection 4/18/91 

Obj. Removed 4/18/91 



ARRC Objection 4/18/91 

Obj. Removed 4/18/91 

ARRC Objection 4/18/91 

Obj. Removed 4/18/91 

ARRC Objection 418 91 

Obj. Removed 4, 18,91 

ARRC Objection 4/18/91 

Obj. Removed 4/18/91 



ARRC Objection 3/21/91 
Obj. Removed 4/18/91 



ARRC Objection 5/16/91 

ARRC Objection 5/16/91 

ARRC Objection 2,25/91 

No Action 3/21/91 

Obj. Removed 4/18/91 

ARRC Objection 5:i6'9l 

ARRC Objection 2/25/91 



6:9 NORTH CAROLINA REGISTER August I, 1991 



510 



ARRC OBJECTIONS 



Agency Responded 
Agency Raised Rule 

Dental Examiners 

21 NCAC 16C .0310 - Reexamination 

Agency Withdrew Rule 
21 NCAC 16D .0101 - Eligibility Requirements 

Agency Revised Rule 

Medical Examiners 

21 XCAC 32B .0309 - Personal Interview 
Agency Responded 
Rule Returned to Agency 

Mortuary Science 

21 XCAC 34C .0102 - Applicability of Statutes 
Agency Withdrew Rule 

STATE PERSONNEL 

25 XCAC ID .0509 - Severance Salary Continuation 
Agency's Response Unacceptable 
Rule Returned to Agency 



Xo Action 
Obj. Removed 



3/21191 

4118191 



ARRC Objection 3121:91 

4 18191 

ARRC Objection 3121191 

Obj. Removed 41 18,91 



ARRC Objection 225 91 

Xo Action 3>21i91 

5116 91 



ARRC Objection 5116 91 
5:16,91 



ARRC Objection II 18:91 
2:25191 
4118191 



511 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



RULES INVALID A TED BY JUDICIAL DECISION 



1 his Section of the Register lists the recent decisions issued by the North Carolina Supreme Court, 
Court of Appeals, Superior Court (when available), and the Office of Administrative Hearings which 
invalidate a ride in the North Carolina Administrative Code. 



10 NCAC 261 .0101 - PURPOSE: SCOPE/NOTICE OF CHANGE IN LEVEL OF CARE 

10 NCAC 261 .0102 - REQUESTS FOR RECONSIDERA TION AND RECIPIENT APPEALS 

10 NCAC 261 .0104 - FORMAL APPEALS 

Thomas R. West, Administrative Law Judge with the Office of Administrative Hearings, declared Rules 10 NCAC 
261 .0101, 10 NCAC 261 .0102 and 10 NCAC 261 .0104 void as applied in Linda Allred, Petitioner v. North 
Carolina Department of Human Resources, Division of Medical Assistance, Respondent (90 DHR 0940). 

10 NCAC 42W .0003(c) - COUNTY DEPT OF SOCIAL SERVICES RESPONSIBILITIES 

10 NCAC 42 W .0005 - REPORTING CASES OF RAPE AND INCEST 

The North Carolina Court of Appeals, per Judge Robert F. Orr, declared Rules 10 NCAC 42W .0003(c) and 10 
NCAC 42W .0005 void as applied in Rankin Whiltinglon, Daniel C Hudgins, Dr. Talcey Crist, Dr. 
Gwendolyn Boyd and Planned Parenthood of Greater Charlotte, Inc., Plaintiffs v. The North Carolina 
Department of Human Resources, David Flaherty, in his capacity as Secretary of the North Carolina De- 
partment of Human Resources, The North Carolina Social Services Commission, and C. Barry McCarty, 
in his capacity as Chairperson of the North Carolina Social Services Commission, Defendants [100 N.C. App. 
603, 398 S.E.2d 40 (1990)]. 

16 NCAC 6D .0105 - USE OF SCHOOL DA Y 

The North Carolina Supreme Court, per Associate Justice Henry E. Frye, held invalid Rule 16 NCAC 6D .0105 
as decided in The State of North Carolina; The North Carolina State Board of Education; and Bob 
Etheridge, State Superintendent of Public Instruction, Plaintiffs v. Whittle Communications and The 
Thomasville City Board of Education, Defendant-Counterclaimants and The Davidson County Board of 
Education, Defendant- 1 nlervenor and Counterclaimant v. The State of North Carolina; The North Carolina 
State Board of Education; and Bob Etheridge, State Superintendent of Public Instruction; and Howard S. 
Haworth; Barbara M. Tapscott; Kenneth R. Harris; Teena Smith Little; W.C. Meekins Jr.; Mary B. 
Morgan; Patricia H. Neal; Cary C Owen; Donald D. Pollock; Prezell R. Robinson; Norma B. Turnage; 
State Treasurer Harlan E. Boyles; and Lt. Governor James C Gardner; in their official capacities as 
members of The North Carolina State Board of Education, Counterclaim Defendants [328 N.C. 456, 402 
S.E.2d 556(1991)]. 

ISA NCAC 7H .0308 - SPECIFIC USE STANDARDS 

The North Carolina Court of Appeals, per Judge Sidney S. Eagles Jr., held that it was error for the Coastal Re- 
sources Commission to fail to follow the required notice and comment procedure prior to the adoption of temporary 
rule 15A NCAC 7H .0308(a)(l)(M), but that the CRC followed proper procedures when it adopted the text of the 
temporary rule as a permanent rule |15A NCAC 7H .0308(a)(l)(M)]. Conservation Council of North Carolina 
v. Haste [102 N.C. App. 411,402 S.E.2d 447 (1991)]. 



6:9 NORTH CAROLINA REGISTER August 1, 1991 512 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



The North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two 
of these, titles and chapters, are mandatory. The major subdivision of the NCAC is the title. 
Each major department in the North Carolina executive branch of government has been as- 
signed a title number. Titles are further broken down into chapters which shall be numerical 
in order. The other two, subchapters and sections are optional subdivisions to be used by 
agencies when appropriate. 

TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMEMSTRATIVE CODE 



OLE 


DEPARTMENT 


LICENSENG BOARDS 


CHAPTER 


l 


Administration 


Architecture 


2 


: 


Agriculture 


Auctioneers 


4 


3 


Auditor 


Barber Examiners 


6 


4 


Economic and Community 


Certified Public Accountant Examiners 


8 




Development 


Chiropractic Examiners 


10 


5 


Correction 


General Contractors 


12 


6 


Council of State 


Cosmetic Art Examiners 


14 


7 


Cultural Resources 


Dental Examiners 


16 


8 


Elections 


Electrical Contractors 


18 


9 


Governor 


Foresters 


20 


in 


Human Resources 


Geologists 


21 


I 1 


Insurance 


Hearing Aid Dealers and Fitters 


22 


12 


Justice 


Landscape Architects 


26 


13 


Labor 


Landscape Contractors 


28 


14A 


Crime Control and Public Safety 


Marital & Family Therapy 


31 


15A 


Environment, Health, and Natural 


Medical Examiners 


32 




Resources 


Midwifery Joint Committee 


33 


16 


Public Education 


Mortuary Science 


34 


17 


Revenue 


Nursing 


36 


18 


Secretary of State 


Nursing Home Administrators 


37 


19A 


Transportation 


Occupational Therapists 


38 


20 


Treasurer 


Opticians 


40 


•:i 


Occupational Licensing Boards 


Optometry 


42 


22 


Administrative Procedures 


Osteopathic Examination and 


44 


23 


Community Colleges 


Registration (Repealed) 




24 


Independent Agencies 


Pharmacy 


46 


25 


State Personnel 


Physical Therapy Examiners 


48 


26 


Administrative Hearings 


Plumbing, Heating and Fire Sprinkler 
Contractors 


. 50 






Podiatry Examiners 


52 






Practicing Counselors 


53 




- 


Practicing Psychologists 


54 






Professional Engineers and Land Surveyor! 


56 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work 


63 






Speech and Language Pathologists and 


64 






Audiologists 








Veterinary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



513 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



CUMULA TIVE INDEX 



CUMULA TIVE INDEX 

(April 1991 - March 1992) 



1991 



1992 



Pages 



Issue 



1 - 44 1 - April 

44 - 99 2 - April 

100 - 185 3 - May 

186 - 226 4 - May 

227 - 246 5 - June 

247 - 325 6 - June 

326 • 373 7 - July 

374 - 463 8 - July 

464 - 515 9 - August 



AO - Administrative Order 

AG - Attorney General's Opinions 

C - Correction 

FR - Final Rule 

GS - General Statute 

JO - Judicial Orders or Decision 

M • Miscellaneous 

NP - Notice of Petitions 

PR - Proposed Rule 

SO • Statements of Organization 

TR - Temporary Rule 



ADMINISTRATION 

State Construction, 465 PR 

ADMINISTRATIVE HEARINGS 

Hearings Division, 310 PR 

AGRICULTURE 

Plant Industry, 102 PR, 469 PR 



CORRECTION 

Division of Prisons, 35 FR, 87 FR, 



209 FR 



ECONOMIC AND COMMUNITY DEVELOPMENT 

Alcoholic Beverage Control Commission, 4 PR 
Community Assistance, 104 PR 
Credit Union Division, 231 PR 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management, 299 PR 

Environmental Management, 197 PR, 271 PR, 447 PR 

Forest Resources, 300 PR 

Health: Epidemioloev, 28 PR, 341 PR 

Health Services, 9 PR, 327 PR 

Land Resources, 494 PR 

Marine Fisheries, 122 PR 

Water Treatment Facility Operators, 495 PR 

Wildlife Resources Commission, 84 PR, 170 PR, 198 PR, 301 PR 



6:9 NORTH CAROLINA REGISTER August 1, 1991 



514 



CUMULA TIVE INDEX 



FINAL DECISION LETTERS 

Voting Rights Act, 48, 230, 248, 326, 464 

FINAL RULES 

List of Rules Codified, 89 FR, 215 FR, 314 FR, 451 FR, 504 FR 

GO\ ERNOR/LT. GOVERNOR 

Executive Orders, 1, 45, 100, 186, 227, 247, 374 

HUMAN RESOURCES 

Aging, Division of, 72 PR, 422 PR 
Facility Services, 104 PR, 471 PR 

Medical Assistance, 9 PR, 1 12 PR, 188 PR, 232 PR, 250 PR, 430 PR, 492 PR 
Mental Health, Developmental Disabilities and Substance Abuse Services, 5 PR, 49 PR, 375 PR, 
449 FR 
Social Services, 116 PR 

LNSURANCE 

Actuarial Services, 119 PR 

Life and Health Division, 430 PR 

Special Services Division, 84 PR 

JUSTICE 

Private Protective Services, 121 PR 
State Bureau of Investigation, 250 PR 

LICENSENG BOARDS 

Architecture, Board of, 30 PR, 232 PR 

Certified Public Accountant Examiners, 201 PR 

Hearing Aid Dealers and Fitters, 496 PR 

Medical Examiners, Board of, 304 PR, 363 PR 

Nursing, Board of, 305 PR 

Pharmacy, Board of, 201 PR 

Physical Therapy Examiners, Board of, 33 PR, 363 PR 

Practicing Psychologists Examiners, 203 PR 

Professional Engineers and Land Surveyors, 497 PR 

Real Estate Commission, 171 PR, 500 PR 

PUBLIC EDUCATION 

Elementary and Secondary, 29 PR, 199 PR, 303 PR 

REVENUE 

Individual Income Tax Division, 234 FR 
Property Tax Commission, 210 FR 

SECRETARY OF STATE 

Securities Division, 85 PR 

STATE PERSONNEL 

State Personnel Commission, 172 PR, 364 PR 

TRANSPORTATION 

Division of Motor Vehicles, 213 FR, 502 FR 



515 6:9 NORTH CAROLINA REGISTER August 1, 1991 



NORTH CAROLINA ADMINISTRATIVE CODE 

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